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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Braxton Barker

Advisor at J.P. MORGAN SECURITIES LLC

DRAPER, UT

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Search this name across graphsid dfx:ria:b4de07a3-6ae3-7176-c4fd-587649d0279d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jun 21, 2023 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 16, 2023
First registration: Jun 21, 2023
Dual registered: yes, broker-dealer
Other names: BRAXTON BARKER|BRAXTON J BARKER|Braxton Jack Barker
IAPD individual key: 7687027

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Jun 23, 2026	n/a	yes	DRAPER, UT	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 6, 2025	Jul 2, 2026	no	OGDEN, UT\|CENTERVILLE, UT\|LAS VEGAS, NV\|CENTERVILLE, UT\|CENTERVILLE, UT\|SALT LAKE CITY, UT\|FARMINGTON, UT	Previous registration
MORGAN STANLEY	Wirehouse	Sep 30, 2024	Jan 24, 2025	no	GILBERT, AZ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 21, 2023	Sep 16, 2024	no	NEW YORK, NY\|CHANDLER, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Jul 2, 2026	Jun 23, 2026	-9	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 24, 2025	Feb 6, 2025	13	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Sep 16, 2024	Sep 30, 2024	14	Firm change	Wirehouse to wirehouse

Relationships

Registered with (3)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Jun 23, 2026 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 6, 2025 to Jul 2, 2026factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 30, 2024 to Jan 24, 2025factForm ADV

Dated events

Occurred
Jul 2, 2026
Advisor changed firm
Braxton Barker left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2026-06-23)
Form ADVobserved 5 days ago
Occurred
Jan 24, 2025
Advisor changed firm
Braxton Barker left Morgan Stanley for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-02-06)
Form ADVobserved 5 days ago
Occurred
Sep 16, 2024
Advisor changed firm
Braxton Barker left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2024-09-30)
Form ADVobserved 5 days ago