David A. Wells
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Allen Wells was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2020 - December 31, 2025
B.B. GRAHAM & COMPANY, INC.
July 16, 2018 - November 30, 2020
KINGSWOOD CAPITAL PARTNERS, LLC
August 8, 2016 - September 13, 2018
ACCELERATED CAPITAL GROUP
November 1, 2011 - August 8, 2016
NEWPORT COAST SECURITIES, INC.
July 17, 2007 - October 21, 2011
MUTUAL SECURITIES, INC.
July 2, 2007 - July 13, 2007
WEDBUSH SECURITIES INC.
May 20, 1997 - July 2, 2007
BROOKSTREET SECURITIES CORPORATION
June 17, 1994 - May 8, 1997
GLOBALVEST SECURITIES, (USA), INC
January 11, 1993 - May 10, 1994
SAN CLEMENTE SECURITIES, INC.
August 26, 1992 - June 3, 1993
AEGON USA SECURITIES INC.
September 18, 1986 - July 2, 1992
AMERIPRISE ADVISOR SERVICES, INC.
March 28, 1985 - May 12, 1986
BUSCH FINANCIAL GROUP, LTD.
September 14, 1983 - October 11, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
