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David Wayne Abernathy
DAVID W ABERNATHY, DAVID W. ABERNATHY
CRD#: 5460782
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 8111 PRESTON ROAD
DALLAS, TX 75225
DALLAS, TX 75225
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Disclosures
16
Years of Experience
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State Registrations
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Texas 10/1/2012
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Texas 10/1/2012
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Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/21/2010 - 10/01/2012 | DALLAS, TX | |
B | 05/21/2010 - 10/01/2012 | DALLAS, TX | |
IA | 03/31/2008 - 01/12/2010 | PLANO, TX | |
B | 02/22/2008 - 01/12/2010 | PLANO, TX |
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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.
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.