David J. Thorp
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David John Thorp JR, CIMA®, who also goes by David John Jr Thorp, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - June 3, 2019
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 23, 2001 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
May 1, 1995 - December 31, 2000
BANC ONE SECURITIES CORPORATION
April 6, 1994 - March 3, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
September 16, 1992 - December 19, 1993
SEI INVESTMENTS DISTRIBUTION CO.
November 18, 1991 - February 27, 1992
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
February 12, 1990 - May 17, 1991
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
April 6, 1989 - August 15, 1989
FOGELMAN SECURITIES COMPANY
July 22, 1987 - December 14, 1989
GRAHAM SECURITIES CORPORATION
September 21, 1984 - March 17, 1986
ANGELES SECURITIES CORPORATION
June 20, 1984 - September 21, 1984
QTX SECURITIES, INC.
August 24, 1983 - February 28, 1984
AMERICAN DIVERSIFIED EQUITY CORPORATION
April 29, 1982 - July 22, 1983
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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