David Morris

CRD 1098464 · J.P. Morgan Securities LLC · Ventura, CA

IA RegisteredBroker

Also appears in the source record as: David Lee Morris

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 55Series 3Series 5Series 7Series 24Series 63Series 66
Registered states (31): Alaska · Arizona · California · Colorado · Connecticut · Florida · Georgia · Hawaii · Idaho · Illinois · Iowa · Kentucky · Louisiana · Maryland · Minnesota · Missouri · Montana · Nevada · New Mexico · New York · North Carolina · Ohio · Oregon · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 39
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1098464 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 (11)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Ventura, CA · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Ventura, CA · BC capacity

start not retrieved → present
Nashville Financial Services Pllc
Nashville, TN · IA capacity

Sep 15, 2016 → Nov 8, 2016
Avondale Partners, LLC
Nashville, TN · BC capacity

Aug 31, 2010 → Aug 17, 2016
Avondale Partners, LLC
Nashville, TN · IA capacity

Aug 17, 2010 → Aug 17, 2016
Church Street Advisors LLC
Franklin, TN · IA capacity

Sep 24, 2009 → Dec 23, 2010
Electronic Trading Group, LLC
Franklin, TN · BC capacity

Oct 31, 2002 → Nov 23, 2005
Rothschild Lieberman Ltd.
New York, NY · BC capacity

Jul 26, 2001 → Nov 8, 2002
First New York Securities L.L.C.
New York, NY · BC capacity

May 5, 2000 → Sep 11, 2000
Oppenheimer & Co., Inc.
New York, NY · BC capacity

May 29, 1986 → Feb 5, 1990
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BC capacity

Mar 1, 1983 → Jun 10, 1986

Source & corrections

Where this page comes from

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