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David Treffry

J.P. Morgan Securities LLC

Laguna Niguel, CA

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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_RES 2018-04-25
CA RA APPROVED 2013-07-10
  • TX RA
    APPROVED_RES
    Since 2018-04-25
  • CA RA
    APPROVED
    Since 2013-07-10

Branch Locations

30202 Crown Valley Parkway, Laguna Niguel, CA 92677 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Securities Llc Laguna Niguel CA 03/2014 Present
Jpmorgan Chase Bank, N.A. Laguna Niguel CA 03/2014 Present
  • 03/2014 → Present
    Jpmorgan Securities Llc
    Laguna Niguel, CA
  • 03/2014 → Present
    Jpmorgan Chase Bank, N.A.
    Laguna Niguel, CA
Previous Registrations
  • 2011-01-03 → 2013-07-05
    Wells Fargo Clearing Services, Llc
    Rancho Santa Margarita, CA
    Irvine, CA
  • 2005-07-20 → 2011-01-03
    Wells Fargo Investments, Llc
    Irvine, CA
    Irvine, CA
    Rancho Santa Margarita, CA
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-19
  • S66 Uniform Combined State Law Examination
    2005-07-19
Other Names
  • David Charles Treffry

View on SEC IAPD

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Other Offices

EHRLICH FINANCIAL GROUP · LAGUNA NIGUEL, CA
TCFG INVESTMENT ADVISORS, LLC · LAGUNA NIGUEL, CA
SENTIENT FINANCIAL, LLC · LAGUNA NIGUEL, CA
LPL FINANCIAL LLC · LAGUNA NIGUEL, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LAGUNA NIGUEL, CA
MORGAN STANLEY · Laguna Niguel, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Laguna Niguel, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Laguna Niguel, CA

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