DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Dave Grimes

Advisor at J.P. MORGAN SECURITIES LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c5d7ffe7-a127-629c-03e6-c78cd6cc4b77

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 30, 2016 to Sep 15, 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: Nov 1, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 29, 2016
First registration: Jun 30, 2016
Dual registered: yes, broker-dealer
Other names: David Grimes|Dave Grimes|Dave T Grimes|David T Grimes
IAPD individual key: 6636123

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 27, 2023	n/a	yes	NEW PALTZ, NY\|CLIFTON PARK, NY\|ALBANY, NY\|YORKTOWN HEIGHTS, NY\|Latham, NY\|NEWBURGH, NY\|BREWSTER, NY\|Schenectady, NY\|POUGHKEEPSIE, NY\|MOHEGAN LAKE, NY\|YORKTOWN HEIGHTS, NY\|FISHKILL, NY\|POUGHKEEPSIE, NY\|WAPPINGERS FALLS, NY\|SOMERS, NY\|Albany, NY\|PATTERSON, NY\|PEEKSKILL, NY\|BALDWIN PLACE, NY\|Saratoga Springs, NY\|Niskayuna, NY\|Albany, NY\|POUGHKEEPSIE, NY\|HOPEWELL JUNCTION, NY\|KINGSTON, NY\|PLEASANT VALLEY, NY\|YORKTOWN HEIGHTS, NY\|ALBANY, NY\|Schenectady, NY\|Albany , NY\|Albany, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 30, 2016	Mar 21, 2023	no	LATHAM, NY\|LATHAM, NY\|CLIFTON PARK, NY\|SCOTIA, NY\|ALBANY, NY\|ALBANY, NY	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	Mar 21, 2023	Mar 27, 2023	6	Firm change	Wirehouse to wirehouse

Relationships

Registered with (2)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Mar 27, 2023 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 30, 2016 to Mar 21, 2023factForm ADV

Dated events

Occurred
Mar 21, 2023
Advisor changed firm
Dave Grimes left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2023-03-27)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c5d7ffe7-a127-629c-03e6-c78cd6cc4b77
First observed: Jun 30, 2016
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Dave Grimes

Advisor at J.P. MORGAN SECURITIES LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c5d7ffe7-a127-629c-03e6-c78cd6cc4b77

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:55 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

J.P. MORGAN SECURITIES LLC

Wirehouse

Mar 27, 2023

n/a

yes

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Jun 30, 2016

Mar 21, 2023

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

Mar 21, 2023

Mar 27, 2023

Firm change

Wirehouse to wirehouse