• 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.
DAVID MICHAEL ROBERTS
DAVE ROBERTS, DAVID M ROBERTS, DAVID ROBERTS
CRD#: 4577434
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 225 South Street 2nd Floor
Morristown, NJ 07960
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2013 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2007 - 2011 (3 years)BPNC INVESTMENTS (CRD# 129052)2006 - 2007 (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2004 (1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2011 (1 year)
License(s)

State Registrations

B
Alabama 5/4/2022

B
Nebraska 5/4/2022

B
Alaska 5/4/2022

B
Nevada 5/4/2022

B
Arizona 5/4/2022

B
New Hampshire 5/4/2022

B
Arkansas 5/4/2022

IA
New Jersey 2/12/2013

B
California 5/4/2022

B
New Jersey 2/15/2013

B
Colorado 5/4/2022

B
New Mexico 5/4/2022

B
Connecticut 2/15/2013

B
New York 2/15/2013

B
Delaware 5/4/2022

B
North Carolina 5/4/2022

B
District of Columbia 5/4/2022

B
North Dakota 5/4/2022

B
Florida 5/4/2022

B
Ohio 5/5/2022

B
Georgia 5/4/2022

B
Oklahoma 5/4/2022

B
Hawaii 5/4/2022

B
Oregon 5/4/2022

B
Idaho 5/4/2022

B
Pennsylvania 5/4/2022

B
Illinois 5/4/2022

B
Puerto Rico 5/4/2022

B
Indiana 5/4/2022

B
Rhode Island 5/4/2022

B
Iowa 5/4/2022

B
South Carolina 5/4/2022

B
Kansas 5/4/2022

B
South Dakota 5/4/2022

B
Kentucky 5/4/2022

B
Tennessee 5/4/2022

B
Louisiana 5/4/2022

B
Texas 5/4/2022

B
Maine 5/4/2022

B
Utah 5/4/2022

B
Maryland 5/4/2022

B
Vermont 5/4/2022

B
Massachusetts 5/4/2022

B
Virgin Islands 5/4/2022

B
Michigan 5/4/2022

B
Virginia 5/4/2022

B
Minnesota 5/4/2022

B
Washington 5/4/2022

B
Mississippi 5/4/2022

B
West Virginia 5/4/2022

B
Missouri 5/4/2022

B
Wisconsin 5/4/2022

B
Montana 5/4/2022

B
Wyoming 5/4/2022

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)
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
225 South Street 2nd Floor, Morristown, NJ 07960
Chatham, NJ
Registered with this firm since 2/15/2013

IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
225 South Street 2nd Floor, Morristown, NJ 07960
Chatham, NJ
Registered with this firm since 2/12/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/29/2009 - 03/08/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
B
10/11/2007 - 03/08/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
B
08/03/2006 - 04/16/2007 PNC INVESTMENTS (CRD#:129052) NEWTOWN, PA
B
03/11/2003 - 08/11/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
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.