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David A. Caffrey

J.p. Morgan Institutional Investments Inc.

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About David A. Caffrey

David Caffrey is a financial professional with over 20 years of experience in the industry. David is currently registered with J.P. Morgan Institutional Investments Inc., working out of the Columbus, OH office. David's previous roles have been with several financial institutions, including Wedge Securities, LLC, TD Ameritrade, Inc., Fidelity Brokerage Services LLC, TCAdvisors Network Inc., and Farmers Financial Solutions, LLC. David holds Series 6, 7, and 63 securities licenses, and the SIE exam. He is also registered in several states including Alabama, Florida, Louisiana, Mississippi, Puerto Rico, and Texas.

Firm Information

David Caffrey is currently registered with J.p. Morgan Institutional Investments Inc.. J.P. Morgan Institutional Investments Inc. is a corporation formed on May 26, 1999. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

526

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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David Caffrey’s Registration & Firm History

OH

04/18/2014 - Present

J.p. Morgan Institutional Investments Inc. (COLUMBUS OH)

NY

10/03/2006 - 06/15/2007

WEDGE SECURITIES, LLC (NEW YORK NY)

NY

05/10/2005 - 10/04/2006

TD AMERITRADE, INC. (NEW YORK NY)

RI

09/29/2003 - 05/26/2005

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

CO

04/30/2001 - 07/29/2001

TCADVISORS NETWORK INC. (CENTENNIAL CO)

CA

02/08/2001 - 03/16/2001

FARMERS FINANCIAL SOLUTIONS, LLC (WESTLAKE VILLAGE CA)

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Licenses & Designations

BC

Issued 04/24/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/18/2014

Series 7 - General Securities Representative Examination

BC

Issued 02/07/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David A. Caffrey.
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