Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Rawlings is a financial professional with over 20 years of experience in the industry. David is currently registered with J.p. Morgan Securities LLC and is an active participant in the brokerage and investment advisory fields. David has held prior positions at J.P. Morgan Clearing Corp. and Credit Suisse First Boston Corporation. David holds multiple industry licenses, including Series 3, 7, 10, 24, and 63. David specializes in investment advisory services for individuals and businesses and financial planning.
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
10/12/2001 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
09/18/2008 - 12/31/2008
J.P. MORGAN CLEARING CORP. (NEW YORK NY)
NY
10/13/2000 - 10/16/2001
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
BC
Issued 10/04/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/25/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/2000
Series 3 - National Commodity Futures Examination
BC
Issued 10/12/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 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
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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