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Stephen Spratley

J.P. Morgan Securities LLC
29 Years of Experience
Lake Charles, LA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Stephen Spratley is a registered investment advisor at J.P. Morgan Securities LLC, based in Lake Charles, LA, with 29 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

127 W Broad St, Lake Charles, LA, 70601

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2008
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
October 2012 - Present · 14 yrs
J.P. Morgan Securities LLC
October 2012 - Present · 14 yrs
Previous Registrations
Chase Investment Services CORP.Broker
July 2005 - October 2012 · 7 yrs 3 mos
Chase Investment Services CORP.
July 2005 - October 2012 · 7 yrs 3 mos
Banc One Securities Corporation
August 1998 - July 2005 · 6 yrs 11 mos
Banc One Securities CorporationBroker
August 1998 - July 2005 · 6 yrs 11 mos
Marquis Investments, L.L.C.Broker
September 1997 - August 1998 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1994 - September 1995 · 10 mos
State Registrations14 states
ALARCACOFLHILAMSSCTNTXVAWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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