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David Keith Spindle

J.P. Morgan Securities LLC

Walton, KY

Cincinnati, OH

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-01-10
OH RA APPROVED 2019-11-11
KY RA APPROVED 2019-11-07
  • TX RA
    APPROVED
    Since 2020-01-10
  • OH RA
    APPROVED
    Since 2019-11-11
  • KY RA
    APPROVED
    Since 2019-11-07

Branch Locations

400 Richwood Rd, Walton, KY 41094 • United States

4611 Eastgate Blvd, Cincinnati, OH 45245 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Md2U Louisville KY 05/2010 08/2017
Unemployed Louisville KY 09/2017 11/2017
Axa Advisors, Llc Louisville KY 11/2017 10/2019
Jp Morgan Securities, Llc Cincinnati OH 10/2019 Present
Jp Morgan Chase Bank, N.A. Cincinnati OH 10/2019 Present
  • 05/2010 → 08/2017
    Md2U
    Louisville, KY
  • 09/2017 → 11/2017
    Unemployed
    Louisville, KY
  • 11/2017 → 10/2019
    Axa Advisors, Llc
    Louisville, KY
  • 10/2019 → Present
    Jp Morgan Securities, Llc
    Cincinnati, OH
  • 10/2019 → Present
    Jp Morgan Chase Bank, N.A.
    Cincinnati, OH
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-03-13
S63 Uniform Securities Agent State Law Examination 2017-12-11
  • S65 Uniform Investment Adviser Law Examination
    2018-03-13
  • S63 Uniform Securities Agent State Law Examination
    2017-12-11

View on SEC IAPD

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Kelly Meyers Malatesta
JESSICA L. LUCAS
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LUCAS CONNER LLOYD
Patricia Ann King
NATHAN ERIC ROGERS
Scott Lee D'Amico

Other Offices

FIFTH THIRD SECURITIES, INC. · Walton, KY
LLOYD FINANCIAL GROUP LLC · UNION, KY
EDWARD JONES · Florence, KY
VALIC FINANCIAL ADVISORS, INC. · FLORENCE, KY
U.S. BANCORP ADVISORS, LLC · Florence, KY
STATE FARM INVESTMENT MANAGEMENT CORP. · Florence, KY
AMERIPRISE FINANCIAL SERVICES, LLC · Florence, KY
STATE FARM INVESTMENT MANAGEMENT CORP. · Independence, KY

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