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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

DAVID LAWRENCE RIVERS

Advisor at J.P. MORGAN SECURITIES LLC

Philadelphia, PA

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Search this name across graphsid dfx:ria:69ca9b6d-3ff4-059e-1303-699b99e3dfb0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 10, 2020 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jun 20, 2016
First registration: Mar 10, 2020
Dual registered: yes, broker-dealer
Other names: DAVID L RIVERS|DAVID LAWRENCE RIVERS|DAVID LAWRENCE RIVERS|DAVID LAWRENCE RIVERS II
IAPD individual key: 5458087

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 28, 2025	n/a	yes	Philadelphia, PA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 9, 2023	Feb 19, 2025	no	PHILADELPHIA, PA	Previous registration
MORGAN STANLEY	Wirehouse	Dec 20, 2021	Aug 2, 2023	no	Mount Laurel, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 10, 2020	Nov 30, 2021	no	KING OF PRUSSIA, PA\|NEW YORK, NY\|PHILADELPHIA, PA\|GLEN MILLS, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Feb 19, 2025	Aug 28, 2025	190	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 2, 2023	Aug 9, 2023	7	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Nov 30, 2021	Dec 20, 2021	20	Firm change	Wirehouse to wirehouse

Relationships

Registered with (3)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Aug 28, 2025 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 9, 2023 to Feb 19, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Dec 20, 2021 to Aug 2, 2023factForm ADV

Dated events

Occurred
Feb 19, 2025
Advisor changed firm
David Lawrence Rivers left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2025-08-28)
Form ADVobserved 5 days ago
Occurred
Aug 2, 2023
Advisor changed firm
David Lawrence Rivers left Morgan Stanley for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-08-09)
Form ADVobserved 5 days ago