Daniel J. Bubbico
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.
Daniel J. Bubbico, who also goes by Dan J Bubbico, Daniel James Bubbico, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2001. Daniel had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2025 - April 19, 2026
J.P. MORGAN SECURITIES LLC
January 15, 2025 - April 19, 2026
J.P. MORGAN SECURITIES LLC
May 15, 2024 - January 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 2024 - January 21, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 2023 - January 25, 2024
FOUNDATIONS INVESTMENT ADVISORS LLC
September 12, 2023 - January 23, 2024
ALLOY INVESTMENT MANAGEMENT
February 17, 2021 - August 23, 2023
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - August 23, 2023
TRUIST INVESTMENT SERVICES, INC.
June 17, 2020 - February 17, 2021
BB&T SECURITIES, LLC
June 17, 2020 - February 17, 2021
BB&T SECURITIES, LLC
January 8, 2014 - June 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 8, 2014 - June 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 2, 2013 - January 2, 2014
MSI FINANCIAL SERVICES, INC.
April 8, 2013 - January 2, 2014
MSI FINANCIAL SERVICES, INC.
October 8, 2007 - January 7, 2008
OPUS TRADING FUND LLC
September 28, 2005 - September 20, 2006
METROPOLITAN LIFE INSURANCE COMPANY
September 28, 2005 - September 20, 2006
MSI FINANCIAL SERVICES, INC.
August 8, 2003 - September 29, 2003
GILFORD SECURITIES INCORPORATED
December 4, 2001 - February 14, 2002
GENESIS SECURITIES, LLC
May 15, 2001 - August 20, 2001
DAVID LERNER ASSOCIATES, INC.
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
Series 55
Date: 1/25/2002
Limited Representative-Equity Trader ExamCurrent 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 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| 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 | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
