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David Joseph Griffiths
DAVID JOSEPH GRIFFITHS SR., DAVID JOSEPH GRIFFITHS
CRD#: 3084454
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 4011 San Pedro, Floor 02
San Antonio, TX 78212
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2011 - 2017 (6 years)2 FIRMS2018 - Present (6 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2003 - 2011 (7 years)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2003 (2 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1998 - 2000 (2 years)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2004 - 2011 (6 years)
License(s)

State Registrations

B
Alabama 8/9/2018

B
Nebraska 8/9/2018

B
Alaska 8/9/2018

B
Nevada 8/9/2018

B
Arizona 8/9/2018

B
New Hampshire 8/9/2018

B
Arkansas 8/9/2018

B
New Jersey 8/9/2018

B
California 8/9/2018

B
New Mexico 8/9/2018

B
Colorado 8/9/2018

B
New York 8/9/2018

B
Connecticut 8/9/2018

B
North Carolina 8/9/2018

B
Delaware 8/9/2018

B
North Dakota 8/9/2018

B
District of Columbia 8/9/2018

B
Ohio 8/9/2018

B
Florida 8/9/2018

B
Oklahoma 8/9/2018

B
Georgia 8/9/2018

B
Oregon 8/9/2018

B
Hawaii 8/9/2018

B
Pennsylvania 8/9/2018

B
Idaho 8/9/2018

B
Puerto Rico 8/9/2018

B
Illinois 8/9/2018

B
Rhode Island 8/9/2018

B
Indiana 8/9/2018

B
South Carolina 8/9/2018

B
Iowa 8/9/2018

B
South Dakota 8/9/2018

B
Kansas 8/9/2018

B
Tennessee 8/9/2018

B
Kentucky 8/9/2018

B
Texas 8/9/2018

B
Louisiana 8/9/2018

IA
Texas 8/13/2018

B
Maine 8/9/2018

B
Utah 8/9/2018

B
Maryland 8/9/2018

B
Vermont 8/9/2018

B
Massachusetts 8/9/2018

B
Virgin Islands 8/9/2018

B
Michigan 8/9/2018

B
Virginia 8/9/2018

B
Minnesota 8/9/2018

B
Washington 8/9/2018

B
Mississippi 8/9/2018

B
West Virginia 8/9/2018

B
Missouri 8/9/2018

B
Wisconsin 8/9/2018

B
Montana 8/9/2018

B
Wyoming 8/9/2018

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)
4011 San Pedro, Floor 02, San Antonio, TX 78212
1100 GOLIAD RD, SAN ANTONIO, TX 78223
Registered with this firm since 8/13/2018

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
4011 San Pedro, Floor 02, San Antonio, TX 78212
1100 GOLIAD RD, SAN ANTONIO, TX 78223
Registered with this firm since 8/9/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/03/2011 - 10/31/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SALT LAKE CITY, UT
B
01/03/2011 - 10/31/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SALT LAKE CITY, UT
IA
12/13/2004 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LYNNWOOD, WA
B
10/03/2003 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LYNNWOOD, WA
B
11/30/2000 - 08/27/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
08/25/1998 - 09/20/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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Broker
IA
Investment Adviser
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.