THERESA JEAN SIMS

THERESA JEAN SIMS is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 5815 21ST STREET, RACINE, WI, 53406.

THERESA JEAN SIMS has worked at J.P. MORGAN SECURITIES LLC since April 23, 2013

Disclosure History

THERESA JEAN SIMS has 6 Disclosure Event(s).

Date: August 28, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $4,195.30
Judgment/Lien Type: Civil

Date: February 06, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 06, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 06, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 06, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 05, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for THERESA JEAN SIMS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.