Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dave? Claim Your ProfileDave Pruett is a financial advisor with J.P. Morgan Securities LLC in LOS OSOS, CA. Dave has been in the industry since 2006. Dave has passed the Series 7, Series 63, Series 66, and SIE exams. Dave has been registered with J.P. Morgan Securities LLC since 2012. Prior to joining J.P. Morgan Securities LLC, Dave was registered with Chase Investment Services Corp. and WAMU Investments, Inc. Dave specializes in working with individuals, high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and insurance companies. Dave offers financial planning, portfolio management for businesses, and portfolio management for individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
05/01/2020 - Present
J.p. Morgan Securities LLC (LOS OSOS CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN LUIS OBISPO CA)
CA
06/24/2008 - 05/02/2009
WAMU INVESTMENTS, INC. (SAN LUIS OBISPO CA)
CA
01/13/2006 - 03/02/2007
EDWARD JONES (SAN LUIS OBISPO CA)
BOTH
Issued 11/14/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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