David Findley

CRD 7207806 · J.P. Morgan Securities LLC · Wesley Chapel, FL

IA RegisteredBroker

Also appears in the source record as: David H Findley; David Horton Findley; David Hortonfindley

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 7TOSIESeries 66
Registered states (14): Florida · Georgia · Illinois · Indiana · Kentucky · Michigan · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Tennessee · Texas · Wisconsin
Years in the industry (source record): 5
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
Wesley Chapel, FL · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Wesley Chapel, FL · BC capacity

start not retrieved → present
Fisher Investments
Tampa, FL · IA capacity

May 13, 2024 → Jul 16, 2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Orlando, FL · IA capacity

Apr 20, 2023 → May 13, 2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Orlando, FL · BC capacity

Apr 19, 2023 → May 13, 2024
Equitable Advisors, LLC
Orlando, FL · IA capacity

Jul 15, 2022 → Mar 30, 2023
Equitable Advisors, LLC
Orlando, FL · BC capacity

Feb 6, 2021 → Mar 30, 2023

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 7207806 ↗ FINRA BrokerCheck record for CRD 7207806 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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