Stephen Michael Hooks

CRD 5020190 · J.P. Morgan Securities LLC · New Orleans, LA

IA RegisteredBroker

Also appears in the source record as: Stephen Hooks; Steve Hooks

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 6Series 66
Registered states (15): Alabama · California · Florida · Georgia · Illinois · Louisiana · Michigan · Mississippi · Missouri · New York · North Carolina · Oklahoma · Tennessee · Texas · Washington
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (6)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
New Orleans, LA · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
New Orleans, LA · BC capacity

start not retrieved → present
Chase Investment Services Corp.
Slidell, LA · IA capacity

Nov 18, 2010 → Oct 1, 2012
Chase Investment Services Corp.
Slidell, LA · BC capacity

Oct 20, 2006 → Oct 1, 2012
Metropolitan Life Insurance Company
New York, NY · BC capacity

Aug 24, 2005 → Dec 31, 2005
Metlife Securities Inc.
Springfield, MA · BC capacity

Aug 24, 2005 → Dec 31, 2005

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5020190 ↗ FINRA BrokerCheck record for CRD 5020190 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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