David Ausmus

CRD 1754113 · J.P. Morgan Securities LLC · Westerville, OH

IA RegisteredBroker

Also appears in the source record as: David Brian Ausmus

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 6TOSIESeries 7Series 6Series 66Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (12)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Westerville, OH · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Westerville, OH · BC capacity

start not retrieved → present
Morgan Stanley
Columbus, OH · IA capacity

Apr 27, 2017 → Jul 26, 2019
Morgan Stanley
Columbus, OH · BC capacity

Mar 30, 2017 → Jul 26, 2019
Nationwide Investment Services Corporation
Dublin, OH · BC capacity

Feb 9, 2010 → Aug 26, 2015
Nationwide Investment Advisors, LLC
Columbus, OH · IA capacity

Dec 5, 2006 → Apr 8, 2009
Nationwide Investment Services Corporation
Dublin, OH · IA capacity

Feb 2, 2006 → Dec 5, 2006
Charles Schwab & Co., Inc.
Paramus, NJ · IA capacity

Feb 28, 2003 → Jul 7, 2004
Charles Schwab & Co., Inc.
Westlake, TX · BC capacity

Feb 28, 2003 → Jul 7, 2004
Ubs Painewebber Inc.
Weehawken, NJ · BC capacity

Jul 13, 2001 → Jan 14, 2003
Financial Network Investment Corporation
El Segundo, CA · BC capacity

Apr 1, 1996 → Jul 18, 2001
Putnam Financial Services, Inc.
BC capacity

Nov 1, 1988 → Mar 29, 1989

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1754113 ↗ FINRA BrokerCheck record for CRD 1754113 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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