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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Charlotte A. Roper

Advisor at J.P. MORGAN SECURITIES LLC

VENICE, FL

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Search this name across graphsid dfx:ria:e821b147-6d19-88a5-229f-20a3af1cb95a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2008 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: Oct 21, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Oct 21, 2003
First registration: Jan 25, 2008
Dual registered: yes, broker-dealer
Other names: CHARLOTTE ANN JOHNSON|CHARLOTTE A ROPER|CHARLOTTE ANN ROPER
IAPD individual key: 4710930

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	Sep 19, 2018	n/a	yes	VENICE, FL	Current employment
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Oct 6, 2017	Aug 22, 2018	no	PORT CHARLOTTE, FL\|TAMPA, FL\|CAPE CORAL, FL	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Feb 9, 2017	Sep 1, 2017	no	SARASOTA, FL	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jul 27, 2016	Sep 14, 2016	no	TAMPA, FL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jul 1, 2013	Aug 4, 2016	no	LEXINGTON, KY\|RICHMOND, KY	Previous registration
EDWARD JONES	National bd RIA	Sep 20, 2010	Jul 18, 2012	no	LEXINGTON, KY	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 9, 2008	Sep 20, 2010	no	RICHMOND, KY\|SAN DIEGO, CA\|RICHMOND, KY	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Jan 25, 2008	Sep 10, 2008	no	Berea, KY\|Richmond, KY\|RICHMOND, KY\|Irvine, KY\|Lexington, KY\|Lexington, KY\|Lexington, KY	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
CUNA BROKERAGE SERVICES, INC.	J.P. MORGAN SECURITIES LLC	Aug 22, 2018	Sep 19, 2018	28	Firm change	RIA to wirehouse
CETERA INVESTMENT ADVISERS LLC	CUNA BROKERAGE SERVICES, INC.	Sep 1, 2017	Oct 6, 2017	35	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	CETERA INVESTMENT ADVISERS LLC	Sep 14, 2016	Feb 9, 2017	148	Firm change	Other
J.P. MORGAN SECURITIES LLC	VALIC FINANCIAL ADVISORS, INC.	Aug 4, 2016	Jul 27, 2016	-8	Firm change	Other
EDWARD JONES	J.P. MORGAN SECURITIES LLC	Jul 18, 2012	Jul 1, 2013	348	Firm change	Ibd to wirehouse
LPL FINANCIAL LLC	EDWARD JONES	Sep 20, 2010	Sep 20, 2010	0	Firm change	Other
U.S. BANCORP INVESTMENTS, INC.	LPL FINANCIAL LLC	Sep 10, 2008	Sep 9, 2008	-1	Firm change	Other

Relationships

Registered with (7)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jul 1, 2013 to Aug 4, 2016factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Oct 6, 2017 to Aug 22, 2018factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Feb 9, 2017 to Sep 1, 2017factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jul 27, 2016 to Sep 14, 2016factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Sep 20, 2010 to Jul 18, 2012factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 9, 2008 to Sep 20, 2010factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 25, 2008 to Sep 10, 2008factForm ADV

Dated events

No dated event names this entity yet.