David Jungwoo Lee

CRD 6973136 · J.P. Morgan Securities LLC · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: David J Lee; David Lee; Jungwoo Lee

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 7TOSeries 6TOSIESeries 65Series 63
Registered states (12): Arkansas · California · Delaware · Florida · Illinois · Nevada · New Jersey · New Mexico · New York · Pennsylvania · Texas · Washington
Years in the industry (source record): 7
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 (7)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Los Angeles, CA · IA capacity

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

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mission Viejo, CA · IA capacity

Apr 23, 2021 → May 25, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mission Viejo, CA · BC capacity

Apr 23, 2021 → May 25, 2022
Prudential Financial Planning Services
Los Angeles, CA · IA capacity

Jun 17, 2020 → Apr 5, 2021
Pruco Securities, LLC.
Los Angeles, CA · BC capacity

Feb 13, 2019 → Apr 5, 2021
Axa Advisors, LLC
Los Angeles, CA · BC capacity

Nov 27, 2018 → Feb 11, 2019

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 6973136 ↗ FINRA BrokerCheck record for CRD 6973136 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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