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DF

David Falk

Some features on this profile are disabled
CRD#: 2185870
DF

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 Falk, who also goes by Dave Falk, David Frost Falk, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1991. David had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 9, Series 10, Series 14, Series 53, Series 8, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave Falk | David Frost Falk

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Effective 6/1/2020 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 15, 2020 - March 11, 2025

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
SAN FRANCISCO, CA
Past

June 15, 2020 - March 11, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SAN FRANCISCO, CA
Past

May 19, 2016 - June 8, 2020

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SAN FRANCISCO, CA
Past

May 19, 2016 - June 8, 2020

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SAN FRANCISCO, CA
Past

October 22, 2009 - May 10, 2016

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
SAN FRANCISCO, CA
Past

October 22, 2009 - May 10, 2016

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
SAN FRANCISCO, CA
Past

June 1, 2009 - November 11, 2009

MORGAN STANLEY

RIA
CRD#: 149777
SAN FRANCISCO, CA
Past

June 1, 2009 - November 11, 2009

MORGAN STANLEY

BD
CRD#: 149777
SAN FRANCISCO, CA
Past

October 27, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SAN FRANCISCO, CA
Past

June 7, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN FRANCISCO, CA
Past

February 9, 2000 - May 21, 2002

PYRAMID FINANCIAL CORP.

BD
CRD#: 23181
CUPERTINO, CA
Past

September 9, 1998 - January 26, 2000

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

October 14, 1997 - September 9, 1998

DAKIN SECURITIES CORPORATION

BD
CRD#: 6142
SAN FRANCISCO, CA
Past

October 25, 1991 - August 30, 1997

SMITH CULVER INVESTMENTS

BD
CRD#: 24007
SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
J.P. MORGAN SECURITIES LLC
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.

CRD#: 79 / SEC#: 801-3702, 8-35008

RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/27/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/8/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/11/2004
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/8/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/23/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 14
Date: 9/22/2010
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/15/2000
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/2/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 12/6/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/6/1996
Financial and Operations Principal Examination

Current Firm

J.P. MORGAN SECURITIES LLC
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.

CRD#: 79 / SEC#: 801-3702, 8-35008

RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
270 Park Avenue, New York, NY 10017
Mailing Address
1111 Polaris Pkwy Floor 3f, Columbus, OH 43240
Phone number
(212) 272-2000
Established
Delaware since 08/12/1985
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
8,327

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE (CWM) (11/5/2025)
DEFINED CONTRIBUTION PLAN CONSULTING SERVICES PROGRAM BROCHURE (11/5/2025)
FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE J.P. MORGAN MANAGED INVESTMENT SERVICES PROGRAM (11/5/2025)
WRAP FEE PROGRAM BROCHURE (JPMA) (11/5/2025)
J.P. MORGAN PERSONAL ADVISORS PROGRAM (11/5/2025)
JPMORGAN GUIDED ANNUITY PROGRAM (11/5/2025)

Direct owners and executive officers

NamePositionCRD#
J.P. MORGAN BROKER-DEALER HOLDINGS INC.MEMBER
AIDELSON, DAVIDCHIEF LEGAL OFFICER7884539
ALAOUI ABDALLAOUI, RACHIDCEO, CHAIR, ELECTED MANAGER7122597
BISESI, BRIAN JELECTED MANAGER3090554
CHOI, MICHAELCHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER6597789
COLLINS, JAMES MICHAELCHIEF FINANCIAL OFFICER2725065
DEMPSEY, PATRICK PAULTREASURER2830362
ENGLANDER, ADAM FELECTED MANAGER2941059
FOLEY, KEVIN JELECTED MANAGER4012244
KLION, ROGERCHIEF OPERATING OFFICER5082261
MCCRUM, CARRIEELECTED MANAGER7675791
SABLE, MATTHEW DELECTED MANAGER4835849
TEPPER, ERIC D.ELECTED MANAGER2242377
VIENICK, PAULELECTED MANAGER2212982
VILLWOCK, DAVID SCHIEF COMPLIANCE OFFICER - BROKER DEALER8071637

Regulatory assets under management

Total Number of Accounts1,055,400
AUM (Assets Under Management)$ 352,605,441,286

Disclosures

Regulatory Event392
Civil Event9
Arbitration143

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/25/2025
Cover Page
Report
10/25/2024
Cover Page
Report
11/27/2023
Cover Page
Report
01/03/2023
Cover Page
Report

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.

Company Information

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CRD#: 79

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