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

Heitor Caballero

Advisor at J.P. MORGAN SECURITIES LLC

Avon, CT | Torrington, CT

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Search this name across graphsid dfx:ria:f9454d2f-d196-0401-4816-56038f60192b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jun 28, 2022 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: Sep 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: 4
Exams: S65|S63
First exam: Sep 14, 2020
First registration: Jun 28, 2022
Dual registered: yes, broker-dealer
Other names: Heitor Caballero|Heitor A Caballero|Heitor Alejandro Caballero
IAPD individual key: 7052207

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 26, 2026	n/a	yes	Avon, CT\|Torrington, CT	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 24, 2025	Jul 13, 2026	no	BRIDGEPORT, CT\|BRIDGEPORT, CT\|FAIRFIELD, CT\|BRIDGEPORT, CT\|FAIRFIELD, CT	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 22, 2024	Feb 25, 2025	no	HARTFORD, CT\|East Hartford, CT\|Avon, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 28, 2022	Aug 8, 2024	no	STAMFORD, CT	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
LPL FINANCIAL LLC	J.P. MORGAN SECURITIES LLC	Jul 13, 2026	Jun 26, 2026	-17	Firm change	Ibd to wirehouse
J.P. MORGAN SECURITIES LLC	LPL FINANCIAL LLC	Feb 25, 2025	Feb 24, 2025	-1	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Aug 8, 2024	Aug 22, 2024	14	Firm change	Wirehouse to wirehouse

Relationships

Registered with (3)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Aug 22, 2024 to Feb 25, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 24, 2025 to Jul 13, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 28, 2022 to Aug 8, 2024factForm ADV

Dated events

Occurred
Jul 13, 2026
Advisor changed firm
Heitor Caballero left Lpl Financial Llc for J.P. Morgan Securities Llc (registered 2026-06-26)
Form ADVobserved 6 days ago
Occurred
Feb 25, 2025
Advisor changed firm
Heitor Caballero left J.P. Morgan Securities Llc for Lpl Financial Llc (registered 2025-02-24)
Form ADVobserved 6 days ago
Occurred
Aug 8, 2024
Advisor changed firm
Heitor Caballero left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2024-08-22)
Form ADVobserved 6 days ago