Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ALAN LEE DAVIS
ALAN L DAVIS, ALAN DAVIS
CRD#: 2721611
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 3424 PEACHTREE ROAD NE
FLOOR 17 & 18
ATLANTA, GA 30326
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 2003 (6 years)2 FIRMS2003 - 2015 (12 years)2 FIRMS2015 - Present (9 years)
License(s)

State Registrations

B
Alabama 12/14/2015
B
Nebraska 12/14/2015
B
Alaska 12/14/2015
B
Nevada 12/14/2015
B
Arizona 12/14/2015
B
New Hampshire 12/14/2015
B
Arkansas 12/14/2015
B
New Jersey 12/14/2015
B
California 12/14/2015
B
New Mexico 12/14/2015
B
Colorado 12/14/2015
B
New York 12/14/2015
B
Connecticut 12/14/2015
B
North Carolina 12/14/2015
B
Delaware 12/14/2015
IA
North Carolina 3/18/2016
B
District of Columbia 12/14/2015
B
North Dakota 12/14/2015
B
Florida 12/14/2015
B
Ohio 12/14/2015
B
Georgia 12/14/2015
B
Oklahoma 12/14/2015
IA
Georgia 12/17/2015
B
Oregon 12/14/2015
B
Hawaii 12/14/2015
B
Pennsylvania 12/14/2015
B
Idaho 12/14/2015
B
Puerto Rico 12/14/2015
B
Illinois 12/14/2015
B
Rhode Island 12/14/2015
B
Indiana 12/14/2015
B
South Carolina 12/14/2015
B
Iowa 12/14/2015
B
South Dakota 12/14/2015
B
Kansas 12/14/2015
B
Tennessee 12/14/2015
B
Kentucky 12/14/2015
B
Texas 12/14/2015
B
Louisiana 12/14/2015
IA
Texas 12/14/2015
B
Maine 12/14/2015
B
Utah 12/14/2015
B
Maryland 12/14/2015
B
Vermont 12/14/2015
B
Massachusetts 12/14/2015
B
Virgin Islands 12/14/2015
B
Michigan 12/14/2015
B
Virginia 12/14/2015
B
Minnesota 12/14/2015
B
Washington 12/14/2015
B
Mississippi 12/14/2015
B
West Virginia 12/14/2015
B
Missouri 12/14/2015
B
Wisconsin 12/14/2015
B
Montana 12/14/2015
B
Wyoming 12/14/2015

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
3424 PEACHTREE ROAD NE FLOOR 17 & 18, ATLANTA, GA 30326
Marietta,, GA
Registered with this firm since 12/14/2015
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
3424 PEACHTREE ROAD NE FLOOR 17 & 18, ATLANTA, GA 30326
Marietta,, GA
Registered with this firm since 12/14/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/17/2003 - 12/22/2015 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) ATLANTA, GA
B
 01/17/2003 - 12/22/2015 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) ATLANTA, GA
IA
 08/06/1996 - 01/17/2003 DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) ATLANTA, GA
B
 06/17/1996 - 01/17/2003 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.