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Dave W Pruett

J.P. Morgan Securities LLC

Los Osos, 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 2020-05-01
CA RA APPROVED 2012-10-01
  • TX RA
    APPROVED_RES
    Since 2020-05-01
  • CA RA
    APPROVED
    Since 2012-10-01

Branch Locations

1045 Los Osos Valley Road, Los Osos, CA 93402 • 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
Washington Mutual Bank Malibu CA 10/2007 Present
Wamu Investments, Inc. Malibu CA 05/2008 Present
J.P. Morgan Securities Llc Los Osos CA 10/2012 Present
  • 10/2007 → Present
    Washington Mutual Bank
    Malibu, CA
  • 05/2008 → Present
    Wamu Investments, Inc.
    Malibu, CA
  • 10/2012 → Present
    J.P. Morgan Securities Llc
    Los Osos, CA
Previous Registrations
  • 2011-11-17 → 2012-10-01
    Chase Investment Services Corp.
    San Luis Obispo, CA
    Los Osos, CA
    San Luis Obispo, CA
    Arroyo Grande,, CA
    Morro Bay, CA
    Los Osos, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-14
S63 Uniform Securities Agent State Law Examination 2006-01-20
  • S66 Uniform Combined State Law Examination
    2011-11-14
  • S63 Uniform Securities Agent State Law Examination
    2006-01-20
Other Names
  • Dave Pruett
  • Dave Wade Pruett
  • David Wade Pruett

View on SEC IAPD

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Other Offices

KMT WEALTH MANAGEMENT, LLC · HERMOSA BEACH, CA
DESERT CAPITAL MANAGEMENT GROUP, INC · HERMOSA BEACH, CA
NORTHWOODS FINANCIAL PARTNERS LLC · HERMOSA BEACH, CA
AXIS CAPITAL MANAGEMENT, LLC · HERMOSA BEACH, CA
HERMOSA WEALTH MANAGEMENT · HERMOSA BEACH, CA
OSAIC WEALTH, INC. · Hermosa Beach, CA
MOMENTUM INDEPENDENT NETWORK INC. · Hermosa Beach, CA
LPL FINANCIAL LLC · HERMOSA BEACH, CA

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