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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

David Ausmus

Advisor at J.P. MORGAN SECURITIES LLC

Dublin, OH | Columbus, OH

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Search this name across graphsid dfx:ria:6a2d4a95-ce37-c6aa-7170-2e53dd6023fc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 28, 2003 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 28, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Oct 6, 2015
First registration: Feb 28, 2003
Dual registered: yes, broker-dealer
Other names: DAVID BRIAN AUSMUS
IAPD individual key: 1754113

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	Mar 8, 2021	n/a	yes	Dublin, OH\|Columbus, OH\|Dublin, OH	Current employment
MORGAN STANLEY	Wirehouse	Apr 27, 2017	Jul 26, 2019	no	Columbus, OH	Previous registration
NATIONWIDE INVESTMENT ADVISORS, LLC	Bd affiliated wealth	Dec 5, 2006	Apr 8, 2009	no	COLUMBUS, OH	Previous registration
NATIONWIDE INVESTMENT SERVICES CORPORATION	n/a	Feb 2, 2006	Dec 5, 2006	no	GRANDVIEW HEIGHTS, OH	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Feb 28, 2003	Jul 7, 2004	no	PARAMUS, NJ	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
MORGAN STANLEY	J.P. MORGAN SECURITIES LLC	Jul 26, 2019	Mar 8, 2021	591	Firm change after gap	Wirehouse to wirehouse
NATIONWIDE INVESTMENT ADVISORS, LLC	MORGAN STANLEY	Apr 8, 2009	Apr 27, 2017	2,941	Firm change after gap	Other
NATIONWIDE INVESTMENT SERVICES CORPORATION	NATIONWIDE INVESTMENT ADVISORS, LLC	Dec 5, 2006	Dec 5, 2006	0	Bulk transfer	Other
CHARLES SCHWAB & CO., INC.	NATIONWIDE INVESTMENT SERVICES CORPORATION	Jul 7, 2004	Feb 2, 2006	575	Firm change after gap	Other

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Mar 8, 2021 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Apr 27, 2017 to Jul 26, 2019factForm ADV
→ NATIONWIDE INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 5, 2006 to Apr 8, 2009factForm ADV
→ NATIONWIDE INVESTMENT SERVICES CORPORATIONRegistered adviserregistration: previous registration
Feb 2, 2006 to Dec 5, 2006factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Feb 28, 2003 to Jul 7, 2004factForm ADV

Dated events

No dated event names this entity yet.