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David Broadwell
DAVID P BROADWELL
CRD#: 5322050
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 600 Travis St
Floor 61
Houston, TX 77002
Registration History
20122014201620182020202220242026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - Present (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - Present (9 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2014 - 2015 (<1 year)BMERCER ALLIED COMPANY, L.P. (CRD# 37404)2012 - 2014 (2 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2015 - 2015 (<1 year)
License(s)

State Registrations

B
Alabama 4/28/2015

B
Nebraska 4/28/2015

B
Alaska 4/28/2015

B
Nevada 4/28/2015

B
Arizona 4/28/2015

B
New Hampshire 4/28/2015

B
Arkansas 4/28/2015

B
New Jersey 4/28/2015

B
California 4/28/2015

B
New Mexico 4/28/2015

B
Colorado 4/28/2015

B
New York 4/28/2015

B
Connecticut 4/28/2015

B
North Carolina 4/29/2015

B
Delaware 4/28/2015

B
North Dakota 4/28/2015

B
District of Columbia 4/28/2015

B
Ohio 4/28/2015

B
Florida 4/28/2015

B
Oklahoma 4/28/2015

B
Georgia 4/28/2015

B
Oregon 4/28/2015

B
Hawaii 4/28/2015

B
Pennsylvania 4/28/2015

B
Idaho 4/28/2015

B
Puerto Rico 4/28/2015

B
Illinois 4/28/2015

B
Rhode Island 4/28/2015

B
Indiana 4/28/2015

B
South Carolina 4/28/2015

B
Iowa 4/28/2015

B
South Dakota 4/28/2015

B
Kansas 4/28/2015

B
Tennessee 4/28/2015

B
Kentucky 4/28/2015

B
Texas 4/28/2015

B
Louisiana 4/28/2015

IA
Texas 6/22/2023

B
Maine 4/28/2015

B
Utah 4/28/2015

B
Maryland 4/28/2015

B
Vermont 4/28/2015

B
Massachusetts 4/28/2015

B
Virgin Islands 4/28/2015

B
Michigan 4/28/2015

B
Virginia 4/28/2015

B
Minnesota 4/28/2015

B
Washington 4/28/2015

B
Mississippi 4/28/2015

B
West Virginia 4/28/2015

B
Missouri 4/28/2015

B
Wisconsin 4/28/2015

B
Montana 4/28/2015

B
Wyoming 4/28/2015

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

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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)
600 Travis St Floor 61, Houston, TX 77002
Registered with this firm since 6/22/2023

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
600 Travis St Floor 61, Houston, TX 77002
Registered with this firm since 4/28/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/05/2015 - 04/09/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) HOUSTON, TX
B
12/05/2014 - 04/09/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) HOUSTON, TX
B
03/14/2012 - 05/05/2014 MERCER ALLIED COMPANY, L.P. (CRD#:37404) ALBANY, 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.