David M. Bailiff
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 Michael Bailiff was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 8 firms and has passed the Series 66, 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
December 18, 2013 - September 23, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 17, 2008 - December 17, 2013
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 1, 2008 - December 17, 2013
NATIONWIDE SECURITIES, LLC
August 17, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
August 14, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
August 14, 2007 - December 17, 2010
NATIONWIDE SECURITIES, LLC
April 3, 2007 - July 26, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
October 4, 2005 - July 26, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
March 23, 2004 - September 22, 2005
SECURITIES AMERICA, INC.
August 12, 2003 - February 5, 2004
FORESIDE FUNDS DISTRIBUTORS LLC
September 6, 2000 - April 1, 2002
OSAIC WEALTH, INC.
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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