Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Rowe is a financial advisor with over 40 years of experience in the industry. David is currently registered with J.P. Morgan Securities LLC in New York and Texas. David has previously worked for a number of other firms including Morgan Stanley, Citigroup Global Markets Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, First Investors Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David holds a number of licenses and certifications including Series 7, Series 5, Series 9, Series 10, Series 31, Series 63, and the SIE exam. David specializes in providing financial advice to individuals and families. David has a strong commitment to providing personalized service and helping clients achieve their financial goals.
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
NY
02/13/2020 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
06/01/2009 - 02/07/2020
MORGAN STANLEY (NEW YORK NY)
NY
04/27/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/01/2003 - 04/30/2007
WACHOVIA SECURITIES, LLC (NEW YORK NY)
NY
10/21/1983 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
01/25/1982 - 07/12/1984
FIRST INVESTORS CORPORATION
NA
01/25/1982 - 10/05/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 02/15/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/24/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 03/02/1982
Series 5 - Interest Rate Options Examination
BC
Issued 01/16/1982
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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