Steven F. Davis
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.
Steven Farr Davis, who also goes by Steve Davis, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
April 1, 2018 - April 30, 2019
J.P. MORGAN SECURITIES LLC
March 30, 2018 - April 30, 2019
J.P. MORGAN SECURITIES LLC
January 13, 2010 - March 27, 2018
OSAIC WEALTH, INC.
January 8, 2010 - March 27, 2018
OSAIC WEALTH, INC.
January 20, 2009 - January 26, 2010
SIGNATOR INVESTORS, INC.
February 20, 2007 - January 26, 2010
SIGNATOR INVESTORS, INC.
May 25, 2006 - August 21, 2006
WADDELL & REED
May 25, 2006 - August 21, 2006
WADDELL & REED
October 20, 2004 - May 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - May 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 15, 2003 - October 20, 2004
QUICK & REILLY, INC.
January 15, 2003 - October 20, 2004
QUICK & REILLY, INC.
January 1, 2002 - January 16, 2003
COMMONWEALTH FINANCIAL NETWORK
September 17, 2001 - January 16, 2003
COMMONWEALTH FINANCIAL NETWORK
July 8, 2000 - September 13, 2001
OSAIC FS, INC.
January 6, 2000 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
September 24, 1992 - January 14, 2000
FISCO EQUITY, INC.
September 19, 1989 - October 7, 1991
TUCKER ANTHONY INCORPORATED
January 28, 1987 - August 17, 1989
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
