David Richard Reiser

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:

Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2020-05-29
CT	RA	APPROVED	2018-06-20
RI	RA	APPROVED	2018-06-20
TX	RA	APPROVED	2018-06-20

FL RA
APPROVED

Since 2020-05-29
CT RA
APPROVED

Since 2018-06-20
RI RA
APPROVED

Since 2018-06-20
TX RA
APPROVED

Since 2018-06-20

Branch Locations

Greenwich, CT • United States

50 Rowes Wharf 4Th Floor, Boston, MA 02110 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney	Greenwich	CT	01/2013	06/2018
Morgan Stanley Smith Barney	Newport	RI	06/2009	06/2018
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	06/2018
Jpmorgan Chase Bank, N.A.	New York	NY	06/2018	Present
Jpmorgan Securities, Llc.	New York	NY	06/2018	Present

01/2013 → 06/2018

Morgan Stanley Smith Barney

Greenwich, CT
06/2009 → 06/2018

Morgan Stanley Smith Barney

Newport, RI
01/2015 → 06/2018

Morgan Stanley Private Bank, National Association

New York, NY
06/2018 → Present

Jpmorgan Chase Bank, N.A.

New York, NY
06/2018 → Present

Jpmorgan Securities, Llc.

New York, NY

Previous Registrations

2009-06-01 → 2018-06-21

Morgan Stanley

Greenwich, CT

Westport, CT

Newport, RI

Newport, RI

New York, NY

New York, NY
2008-04-18 → 2009-06-01

Citigroup Global Markets Inc.

Westport, CT
1995-01-01 → 2008-04-29

Ubs Financial Services Inc.

Stamford, CT

Providence, RI

Providence, RI

Other Businesses

Entity Name: Book published "Letters from Home" 2010 John Wiley & Son's ISBN 979-0-470-63792-0 Investment related: No Address: Narragansett, RI Nature of the other business: Finding a cure for breast cancer and end child hunger Position/Title/Relationship: Co-Author Start Date: 01-Oct-2010 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Co-Author Entity Name: Author Investment related: No Address: Narragansett, RI Nature of the other business: Author of a book - Wealthbuilding - Book published 2002 John Wiley & Sons Position/Title/Relationship: Author Start Date: 01-May-2002 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: None at this time Effective 6/20/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-02-03
S63	Uniform Securities Agent State Law Examination	1986-10-22

S65 Uniform Investment Adviser Law Examination

1992-02-03
S63 Uniform Securities Agent State Law Examination

1986-10-22

View on SEC IAPD