David Lee Rowe

CRD 1010502 · J.P. Morgan Securities LLC · New York, NY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 31Series 5Series 7Series 9Series 10Series 8Series 63
Registered states (39): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Kansas · Kentucky · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Texas · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 44
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1010502 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (9)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
New York, NY · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
New York, NY · BC capacity

start not retrieved → present
Morgan Stanley
New York, NY · BC capacity

Jun 1, 2009 → Feb 7, 2020
Citigroup Global Markets Inc.
New York, NY · BC capacity

Apr 27, 2007 → Jun 1, 2009
Wachovia Securities, LLC
New York, NY · IA capacity

Mar 8, 2004 → Apr 30, 2007
Wachovia Securities, LLC
New York, NY · BC capacity

Jul 1, 2003 → Apr 30, 2007
Prudential Securities Incorporated
New York, NY · BC capacity

Oct 21, 1983 → Jul 1, 2003
First Investors Corporation
BC capacity

Jan 25, 1982 → Jul 12, 1984
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BC capacity

Jan 25, 1982 → Oct 5, 1983

Source & corrections

Where this page comes from

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