Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Ausmus is a financial advisor registered with J.P. Morgan Securities LLC. David Ausmus has been in the industry since 2000. David Ausmus's office is located in Westerville, OH. Prior to joining J.P. Morgan Securities LLC, David Ausmus worked at Morgan Stanley. David Ausmus is a registered representative and investment adviser representative. David Ausmus has passed the Series 6, 7, 63, 66, and SIE exams. David Ausmus is registered in 53 states.
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
OH
03/08/2021 - Present
J.p. Morgan Securities LLC (WESTERVILLE OH)
OH
03/30/2017 - 07/26/2019
MORGAN STANLEY (COLUMBUS OH)
OH
02/09/2010 - 08/26/2015
NATIONWIDE INVESTMENT SERVICES CORPORATION (DUBLIN OH)
OH
01/31/2006 - 01/12/2009
NATIONWIDE INVESTMENT SERVICES CORPORATION (DUBLIN OH)
TX
02/28/2003 - 07/07/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NJ
07/13/2001 - 01/14/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
CA
04/01/1996 - 07/18/2001
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
NJ
05/01/1995 - 03/05/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
11/01/1988 - 03/29/1989
PUTNAM FINANCIAL SERVICES, INC.
BOTH
Issued 01/25/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/06/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/1995
Series 7 - General Securities Representative Examination
BC
Issued 10/31/1988
Series 6 - Investment Company Products/Variable Contracts 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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