Brian Compton, financial advisor Yuma AZ
96 score

Brian Compton

CRD Number: 4432631
Current Firm: J.p. Morgan Securities LLC

Brian Compton (CRD# 4432631) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Yuma, AZ and has over 15 years of experience in the finance industry. Brian Compton has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
J.p. Morgan Securities LLC Yuma, AZ Oct 2012 - Current 4
Chase Investment Services Corp. Chicago, IL Jul 2005 - Oct 2012 7
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2001
Contact Info for Brian L. Compton
Phone Number: 800-999-2000
Firm Website: https://www.jpmorgan.com
Registered State(s):
  • AZ
  • TX
By the Numbers
  • Total Assets Under Management
    70,743
    MILLIONS
  • Total Number of Accounts
    344,720
    ACCOUNTS
  • Average Account Value
    $205,219
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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