David Roger Allen

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2005 → 04/2017
  Goldman, Sachs & Co.
  Chicago, IL
• 05/2017 → 09/2020
  Equity Trust Company
  Westlake, OH
• 09/2017 → 09/2020
  Etc Brokerage Services
  Westlake, OH
• 09/2020 → Present
  Jpmorgan Chase Bank Na
  Cleveland, OH
• 09/2020 → Present
  Jpmorgan Securities Llc
  Cleveland, OH
• 01/2019 → Present
  City Of Rocky River
  Rocky River, OH

Other Businesses

I am currently a Plan Commissioner for the City of Rocky River (also listed in 'Employment History'). This business activity began 1/1/19 and is non-investment related. This is not an elected role; Meetings are less than 4 hours per month and are in the evenings (do not interfere with securities trading hours).

Exams

• S65 Uniform Investment Adviser Law Examination
  2022-05-09
• S63 Uniform Securities Agent State Law Examination
  2000-07-27