David W. Treat
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 Wayne Treat, who also goes by D Wayne Treat, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - October 28, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - October 28, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 31, 2003 - December 31, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 26, 2001 - April 26, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 12, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 30, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
May 6, 1996 - November 13, 1996
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
October 31, 1995 - April 25, 1996
JOSEPHTHAL & CO., INC.
May 24, 1995 - September 28, 1995
VANGUARD CAPITAL
November 16, 1994 - March 10, 1995
BANK SOUTH SECURITIES CORPORATION
March 23, 1993 - October 17, 1994
COASTAL SECURITIES, INC.
January 1, 1991 - April 1, 1993
UBS FINANCIAL SERVICES INC.
August 14, 1990 - January 1, 1991
ROTAN MOSLE INC.
July 19, 1988 - August 15, 1990
MORGAN STANLEY DW INC.
September 1, 1987 - July 23, 1988
BOETTCHER & COMPANY, INC.
June 28, 1985 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
August 22, 1984 - June 28, 1985
MASTER SANFORD COON WARD HOLLAND INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
