Aaron A. 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.
Aaron Arbo Davis, who also goes by Aaron Arbo Davis, Aaron Davis, Aaron A Davis, was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2001. Aaron had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
June 26, 2018 - December 6, 2019
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
June 25, 2018 - December 6, 2019
FIRST REPUBLIC SECURITIES COMPANY, LLC
August 7, 2017 - June 27, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 4, 2017 - June 27, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 27, 2013 - November 12, 2015
BANCWEST INVESTMENT SERVICES, INC.
March 27, 2013 - November 12, 2015
BANCWEST INVESTMENT SERVICES, INC.
February 14, 2011 - February 11, 2013
BANCWEST INVESTMENT SERVICES, INC.
February 10, 2011 - February 11, 2013
BANCWEST INVESTMENT SERVICES, INC.
November 6, 2007 - March 13, 2009
PACIFIC WEST FINANCIAL CONSULTANTS INC
October 22, 2007 - March 13, 2009
PACIFIC WEST SECURITIES, INC.
December 14, 2004 - October 12, 2007
LPL FINANCIAL LLC
December 14, 2004 - October 12, 2007
LPL FINANCIAL LLC
March 1, 2004 - November 19, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 7, 2001 - November 19, 2004
BANC OF AMERICA INVESTMENT SERVICES, 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 PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
