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David Rowe

J.P. Morgan Securities LLC
44 Years of Experience
New York, NY
4 DisclosuresBroker
View SEC Summary
View SEC Summary

David Rowe is a registered investment advisor at J.P. Morgan Securities LLC, based in New York, NY, with 44 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

277 Park Avenue, 2nd & 3rd Floor, New York, NY, 10172

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2005
Settled
Customer Dispute
June 2003
Settled
Employment Separation After Allegations
October 1983
Customer Dispute
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

David is a board member for Quogue Cemetery Association and Church of the Heavenly Rest, treasurer for House of the Redeemer, convener for The Church of the Atonement, and trustee for Board of Foreign Parishes of the Protestant Episcopal Church. These roles involve monitoring income and expenses, leading board members, and serving on investment committees, taking minimal time overall.

Employment History
Current Registrations
J.P. Morgan Securities LLC
February 2020 - Present · 6 yrs 8 mos
J.P. Morgan Securities LLCBroker
January 2020 - Present · 6 yrs 9 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - February 2020 · 10 yrs 8 mos
Citigroup Global Markets INC.Broker
April 2007 - June 2009 · 2 yrs 2 mos
Wachovia Securities, LLC
March 2004 - April 2007 · 3 yrs 1 mo
Wachovia Securities, LLCBroker
July 2003 - April 2007 · 3 yrs 9 mos
Prudential Securities IncorporatedBroker
October 1983 - July 2003 · 19 yrs 9 mos
First Investors CorporationBroker
January 1982 - July 1984 · 2 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1982 - October 1983 · 1 yr 9 mos
State Registrations39 states
ALAZCACOCTDCDEFLGAIDILINKSKYMAMDMEMIMNMOMSNCNHNJNMNVNYOHOKORPARISCTXVAVTWAWIWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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