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Detailed Report
DAVID HOWARD JARRELL
David Jarrell
CRD#: 5265165
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 1800 SECOND STREET
SUITE 870
SARASOTA, FL 34236
Registration History
20082010201220142016201820202022202420262 FIRMS2016 - 2018 (1 year)2 FIRMS2019 - Present (5 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2014 - 2016 (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2013 (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2007 - 2012 (5 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2007 - 2007 (<1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2015 - 2016 (1 year)
Disclosure(s)
View By:
12/14/2021
Judgment / Lien
5/10/2019
Financial
Final
10/21/2013
Employment Separation After Allegations
8/16/2007
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 2/15/2022
B
New Jersey 5/1/2019
B
California 2/3/2022
B
New York 5/2/2019
B
Connecticut 5/1/2019
B
North Carolina 2/3/2022
IA
Florida 4/30/2019
B
Ohio 2/2/2022
B
Florida 5/1/2019
B
Pennsylvania 2/4/2022
B
Georgia 2/3/2022
B
Rhode Island 2/21/2022
B
Indiana 1/30/2025
B
South Carolina 2/4/2022
B
Minnesota 5/3/2019
B
Texas 4/30/2019
B
Montana 1/29/2025
B
Virginia 5/7/2019
B
Nebraska 1/27/2025

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, 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
OPPENHEIMER & CO. INC. (CRD#:249)
1800 SECOND STREET SUITE 870, SARASOTA, FL 34236
Registered with this firm since 4/30/2019
B
OPPENHEIMER & CO. INC. (CRD#:249)
1800 SECOND STREET SUITE 870, SARASOTA, FL 34236
Registered with this firm since 4/30/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/15/2016 - 04/12/2018 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) VENICE, FL
B
 07/15/2016 - 04/12/2018 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) VENICE, FL
IA
 01/06/2015 - 07/15/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) VENICE, FL
B
 11/19/2014 - 07/15/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) VENICE, FL
B
 10/01/2012 - 11/13/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) SARASOTA, FL
B
 07/30/2007 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SARASOTA, FL
B
 05/08/2007 - 08/08/2007 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) SARASOTA, FL
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.