BrokerCheck Report

TIMOTHY MICHAEL GOLA

CRD# 2683202

Section Title Page(s)

Report Summary 1

Broker Qualifications 2-4

Registration and Employment History 6-7

Disclosure Events 8

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TIMOTHY M. GOLA Report Summary for this Broker

CRD# 2683202
This report summary provides an overview of the broker's professional background and conduct. Additional
Currently employed by and registered with the information can be found in the detailed report.
following Firm(s): Broker Qualifications
This broker is registered with: Disclosure Events
B J.P. MORGAN SECURITIES LLC
383 MADISON AVENUE 10 Self-Regulatory Organizations All individuals registered to sell securities or provide
NEW YORK, NY 10179 investment advice are required to disclose customer
CRD# 79 0 U.S. states and territories
complaints and arbitrations, regulatory actions,
Registered with this firm since: 02/15/2017 employment terminations, bankruptcy filings, and
criminal or civil judicial proceedings.

This broker has passed: Are there events disclosed about this broker? Yes
1 Principal/Supervisory Exam
The following types of disclosures have been
3 General Industry/Product Exams
reported:
1 State Securities Law Exam Type Count
Criminal 1
Registration History
This broker was previously registered with the
following securities firm(s):

B AXA ADVISORS, LLC

CRD# 6627
WOODBURY, NY
05/2012 - 01/2017
B J.P. MORGAN SECURITIES LLC
CRD# 79
NEW YORK, NY
10/2008 - 12/2011
B J.P. MORGAN SECURITIES INC.
CRD# 18718
NEW YORK, NY
05/2001 - 10/2008

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Broker Qualifications

Registrations
This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, the
category of each license, and the date on which it became effective. This section also provides, for every brokerage firm with which the broker is
currently employed, the address of each branch where the broker works.
This individual is currently registered with 10 SROs and is licensed in 0 U.S. states and territories through his or her employer.

Employment 1 of 1
Firm Name: J.P. MORGAN SECURITIES LLC
Main Office Address: 383 MADISON AVENUE
NEW YORK, NY 10179
Firm CRD#: 79

SRO Category Status Date

B BOX Exchange LLC General Securities Principal Approved 02/15/2017

B BOX Exchange LLC General Securities Representative Approved 02/15/2017

B Cboe C2 Exchange, Inc. General Securities Principal Approved 08/02/2021

B Cboe C2 Exchange, Inc. General Securities Representative Approved 08/02/2021

B Cboe Exchange, Inc. General Securities Principal Approved 08/02/2021

B Cboe Exchange, Inc. General Securities Representative Approved 08/02/2021

B FINRA General Securities Principal Approved 02/16/2017

B FINRA General Securities Representative Approved 02/16/2017

B Long-Term Stock Exchange, Inc. General Securities Principal Approved 04/27/2020

B Long-Term Stock Exchange, Inc. General Securities Representative Approved 04/27/2020

B MEMX LLC General Securities Principal Approved 02/16/2021

B MEMX LLC General Securities Representative Approved 02/16/2021

B MIAX Emerald, LLC General Securities Principal Approved 03/22/2019

B MIAX Emerald, LLC General Securities Representative Approved 03/22/2019

B Nasdaq BX, Inc. General Securities Principal Approved 02/15/2017

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Broker Qualifications

Employment 1 of 1, continued
SRO Category Status Date
B Nasdaq BX, Inc. General Securities Representative Approved 02/15/2017

B Nasdaq PHLX LLC General Securities Principal Approved 02/15/2017

B Nasdaq PHLX LLC General Securities Representative Approved 02/15/2017

B Nasdaq Stock Market General Securities Principal Approved 02/15/2017

B Nasdaq Stock Market General Securities Representative Approved 02/15/2017

Branch Office Locations

J.P. MORGAN SECURITIES LLC
383 MADISON AVENUE
NEW YORK, NY 10179

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Broker Qualifications

Industry Exams this Broker has Passed

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registration
after receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker has
received are not included below.
This individual has passed 1 principal/supervisory exam, 3 general industry/product exams, and 1 state securities law exam.

Principal/Supervisory Exams
Exam Category Date
B General Securities Principal Examination Series 24 06/19/2012

General Industry/Product Exams

Exam Category Date
B Securities Industry Essentials Examination SIE 10/01/2018

B Limited Representative-Equity Trader Exam Series 55 03/02/2000

B General Securities Representative Examination Series 7 10/08/1996

State Securities Law Exams

Exam Category Date
B Uniform Securities Agent State Law Examination Series 63 01/19/1999

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found at
www.finra.org/brokerqualifications/registeredrep/.

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Broker Qualifications

Professional Designations

This section details that the representative has reported 0 professional designation(s).

No information reported.

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Registration and Employment History

Registration History
The broker previously was registered with the following firms:

Registration Dates Firm Name CRD# Branch Location

B 05/2012 - 01/2017 AXA ADVISORS, LLC 6627 WOODBURY, NY

B 10/2008 - 12/2011 J.P. MORGAN SECURITIES LLC 79 NEW YORK, NY

B 05/2001 - 10/2008 J.P. MORGAN SECURITIES INC. 18718 NEW YORK, NY

B 02/2001 - 05/2001 J.P. MORGAN SECURITIES INC. 15733 NEW YORK, NY

B 10/1996 - 03/2001 ROBERT FLEMING INC. 1711 NEW YORK, NY

Employment History
This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filed
Form U4.

Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchange
and the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of
"Present" may not reflect the broker's current employment status.

Employment Employer Name Position Investment Related Employer Location

01/2017 - Present J.P. MORGAN CHASE BANK NA Compliance Manager Y NEW YORK, NY, United
States
01/2017 - Present J.P. MORGAN SECURITIES, LLC. Compliance Manager Y NEW YORK, NY, United
States
04/2012 - 01/2017 AXA ADVISORS, LLC REGISTERED N NEW YORK, NY, United
REPRESENTATIVE States

Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either as
a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that is
exclusively charitable, civic, religious or fraternal and is recognized as tax exempt.

Entity Name: Point Lookout Civic Association

Investment related: No
Address: P.O. Box 391 Point Lookout, NY 11569 www.pointlookout.org
Nature of the other business: General civic duties and responsibilities to serve the town of Point Lookout.
Position/Title/Relationship: Other
Start Date: 28-Sep-2016
Approximate
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rights a month:
reserved. 2 hours
Report about per month
TIMOTHY M. GOLA. 6
Approximate # of hours during securities trading hours: 0
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Entity Name: Pointand

Registration Lookout Civic Association
Employment History
Investment related: No
Address: P.O. Box 391 Point Lookout, NY 11569 www.pointlookout.org
Nature of the other business: General civic duties and responsibilities to serve the town of Point Lookout.
Other Business Activities,
Position/Title/Relationship: Other continued
Start Date: 28-Sep-2016
Approximate # of hours a month: 2 hours per month
Approximate # of hours during securities trading hours: 0
Briefly describe your duties: Beach Committee Co-Chairperson

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Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations,
regulatory actions, employment terminations, bankruptcy filings, and criminal or civil judicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example:
o A law enforcement agency must file formal charges before a broker is required to disclose a particular criminal event.
o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the
industry and that the activity resulted in damages of at least $5,000.
o
3. Disclosure events in BrokerCheck reports come from different sources:
o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and
regulators. When more than one of these sources reports information for the same disclosure event, all versions of the event will
appear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.
o
4. There are different statuses and dispositions for disclosure events:
o A disclosure event may have a status of pending, on appeal, or final.
§ A "pending" event involves allegations that have not been proven or formally adjudicated.
§ An event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed.
§ A "final" event has been concluded and its resolution is not subject to change.
o A final event generally has a disposition of adjudicated, settled or otherwise resolved.
§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative
panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing.
§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that brokers and
brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons.
§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on the part of the
individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further information
regarding these events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain further
information regarding these events.

Pending Final On Appeal

Criminal 0 1 0

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Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegations that are contested and have
not been resolved or proven. The matter may, in the end, be withdrawn, dismissed, resolved in favor of the broker, or concluded through a
negotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputing
the allegations) with no admission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report may
be blank if the information was not provided to CRD.

Criminal - Final Disposition

This type of disclosure event involves a criminal charge against the broker that has resulted in a conviction, acquittal, dismissal, or plea. The
criminal matter may pertain to any felony or certain misdemeanor offenses, including bribery, perjury, forgery, counterfeiting, extortion, fraud, and
wrongful taking of property.
Disclosure 1 of 1
Reporting Source: Broker
Formal Charges were City Court
brought in:
Name of Court: City Court of New Rochelle
Location of Court: New Rochelle, NY
Docket/Case #: 90-20873
Charge Date: 10/26/1990
Charge(s) 1 of 1
Formal Criminal Mischief
Charge(s)/Description:

No of Counts: 1
Felony or Misdemeanor: Felony
Plea for each charge: Not Guilty
Disposition of charge: Reduced
Date of Amended Charge: 12/20/1990
Charge was Amended or Reduced to Disorderly Conduct
reduced to:

Amended No of Counts: 1
Amended Charge: Offense
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Amended Charge: Offense

Amended Plea: Guilty
Disposition of Amended Pled guilty
Charge:

Current Status: Final

Status Date: 12/20/1990

Disposition Date: 12/20/1990

Sentence/Penalty: Paid the fine of $150.00;12/20/1990

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End of Report

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