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DAVID ROGER ALLEN
CRD#: 3141367
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J.P. MORGAN SECURITIES LLCCRD#: 79 1300 E 9th St
Floor 18
Cleveland, OH 44114
Floor 18
Cleveland, OH 44114
0
Disclosures
24
Years of Experience
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State Registrations
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Alabama 10/8/2020
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Nevada 10/8/2020
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Alaska 10/8/2020
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New Hampshire 10/8/2020
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Arizona 10/8/2020
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New Jersey 10/8/2020
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Arkansas 10/8/2020
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New Mexico 10/8/2020
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California 10/8/2020
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New York 10/8/2020
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Colorado 10/8/2020
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North Carolina 10/8/2020
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Connecticut 10/8/2020
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North Dakota 10/8/2020
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Delaware 10/8/2020
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Ohio 10/12/2020
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District of Columbia 10/8/2020
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Ohio 5/10/2022
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Florida 10/8/2020
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Oklahoma 10/8/2020
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Georgia 10/8/2020
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Oregon 10/8/2020
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Hawaii 10/8/2020
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Pennsylvania 10/8/2020
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Idaho 10/8/2020
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Puerto Rico 10/8/2020
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Illinois 10/8/2020
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Rhode Island 10/8/2020
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Indiana 10/8/2020
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South Carolina 10/8/2020
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Iowa 10/8/2020
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South Dakota 10/8/2020
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Kansas 10/8/2020
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Tennessee 10/8/2020
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Kentucky 10/8/2020
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Texas 10/8/2020
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Louisiana 10/8/2020
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Texas 11/17/2022
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Maine 10/8/2020
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Utah 10/8/2020
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Maryland 10/8/2020
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Vermont 10/8/2020
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Massachusetts 10/8/2020
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Virgin Islands 10/8/2020
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Michigan 10/8/2020
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Virginia 10/8/2020
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Minnesota 10/8/2020
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Washington 10/8/2020
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Mississippi 10/8/2020
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West Virginia 10/8/2020
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Missouri 10/8/2020
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Wisconsin 10/8/2020
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Montana 10/8/2020
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Wyoming 10/8/2020
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Nebraska 10/8/2020
SRO Registrations
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Registered with this firm since 5/10/2022
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Registered with this firm since 10/8/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/14/2017 - 09/14/2020 | DALLAS, TX | |
B | 07/14/2005 - 05/24/2017 | CHICAGO, IL | |
B | 07/07/2000 - 07/11/2005 | CLEVELAND, OH |
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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.
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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.
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