David Tu

Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-11-12

TX RA
APPROVED

Since 2025-11-12

Branch Locations

Corinth, TX • United States

8181 Communications Pkwy, Bldg A, Floor 04, Plano, TX 75024 • United States

370 S Cleveland Ave, Westerville, OH 43081 • 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

Organization	City	State	From	To
J.P. Morgan Securities Llc	Plano	TX	10/2025	Present
Jpmorgan Chase Bank, N.A.	Plano	TX	10/2025	Present
Spirit Xtreme Inc	Southlake	TX	04/2023	Present
Usaa Life Company	Plano	TX	03/2023	10/2025
New York Life Insurance Agents	Dallas	TX	12/2016	03/2023
Champion Cheer Allstars	Soutlake	TX	05/2011	03/2023
Fusion All-Stars Llc	West Jordan	UT	07/2022	07/2022
Dialog Direct	Ft. Worth	TX	08/2020	08/2020
Guardian Life/Park Avenue Securities	Addison	TX	08/2015	01/2017

10/2025 → Present

J.P. Morgan Securities Llc

Plano, TX
10/2025 → Present

Jpmorgan Chase Bank, N.A.

Plano, TX
04/2023 → Present

Spirit Xtreme Inc

Southlake, TX
03/2023 → 10/2025

Usaa Life Company

Plano, TX
12/2016 → 03/2023

New York Life Insurance Agents

Dallas, TX
05/2011 → 03/2023

Champion Cheer Allstars

Soutlake, TX
07/2022 → 07/2022

Fusion All-Stars Llc

West Jordan, UT
08/2020 → 08/2020

Dialog Direct

Ft. Worth, TX
08/2015 → 01/2017

Guardian Life/Park Avenue Securities

Addison, TX

Previous Registrations

2024-06-27 → 2025-11-03

Usaa Investment Services Company

Corinth, TX

Plano, TX

Denton, TX

Other Businesses

NAME OF OTHER BUSINESS:Spirit Xtreme Inc. IS THIS OTHER BUSINESS INVESTMENT RELATED?:No ADDRESS:325 Commerce St. STE 110,Southlake,TX,76092,USA NATURE OF OTHER BUSINESS:Cheerleading Coaching YOUR POSITION, TITLE, OR RELATIONSHIP WITH THIS OTHER BUSINESS:Independent contractor or employee of another company START DATE OF YOUR RELATIONSHIP:2023-04-05 APPROXIMATE NUMBER OF HOURS/MONTH YOU DEVOTE TO THE OTHER BUSINESS:10 NUMBER OF HOURS DEVOTED TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS:0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:Coaching Cheerleading IS THIS A RESIDENTIAL ADDRESS?:No NAME OF OTHER BUSINESS:David Tu IS THIS OTHER BUSINESS INVESTMENT RELATED?:No ADDRESS:,Denton,TX,76210,USA NATURE OF OTHER BUSINESS:Room Rental YOUR POSITION, TITLE, OR RELATIONSHIP WITH THIS OTHER BUSINESS:Personally investing in or owning another company START DATE OF YOUR RELATIONSHIP:2004-05-21 APPROXIMATE NUMBER OF HOURS/MONTH YOU DEVOTE TO THE OTHER BUSINESS:5 NUMBER OF HOURS DEVOTED TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS:0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:Renting out rooms in a personally owned property IS THIS A RESIDENTIAL ADDRESS?:Yes

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-06-14
S63	Uniform Securities Agent State Law Examination	2013-05-12

S66 Uniform Combined State Law Examination

2024-06-14
S63 Uniform Securities Agent State Law Examination

2013-05-12

View on SEC IAPD