Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Roger Allen has been in the financial services industry since 2000 and is currently registered with j.p. Morgan Securities LLC. David has a wide range of experience and holds a variety of licenses and certifications, including Series 7, Series 10, Series 24, and Series 63. He is also a Registered Investment Advisor in Ohio and Texas. Prior to joining j.p. Morgan Securities LLC, David worked for Goldman Sachs & Co. LLC and ETC Brokerage Services, LLC. David is committed to providing his clients with personalized financial advice and services. He has a deep understanding of the financial markets and a proven track record of success.
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
11/17/2022 - Present
J.p. Morgan Securities LLC (Cleveland OH)
TX
09/14/2017 - 09/14/2020
ETC BROKERAGE SERVICES, LLC (DALLAS TX)
IL
07/14/2005 - 05/24/2017
GOLDMAN SACHS & CO. LLC (CHICAGO IL)
OH
07/07/2000 - 07/11/2005
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
IA
Issued 05/09/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/01/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/09/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/25/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/2000
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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