David C. Hossell
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 Charles Hossell, who also goes by David Charles Hossell, David Charles Edward Hossell, David Hossell, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 10 firms and has passed the Series 63, Series 99TO, Series 82TO, Series 52TO, Series 22TO, SIE, Series 3, Series 7, Series 14, Series 39, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2019 - August 15, 2023
WELLS FARGO SECURITIES, LLC
July 29, 2015 - April 11, 2016
VYGR DIGITAL SECURITIES, LLC
August 2, 2007 - June 29, 2017
PINNACLE CAPITAL MARKETS, LLC
November 4, 1993 - December 15, 2006
UBS FINANCIAL SERVICES INC.
November 1, 1993 - December 15, 2006
UBS FINANCIAL SERVICES INC.
January 24, 1992 - July 13, 1992
INTERNATIONAL ASSETS ADVISORY, LLC
January 2, 1992 - January 28, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 3, 1991 - December 31, 1991
BILTMORE SECURITIES, INC.
July 29, 1991 - October 28, 1991
JOSEPHTHAL & CO., INC.
June 7, 1991 - July 15, 1991
BILTMORE SECURITIES, INC.
June 26, 1989 - November 7, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 1988 - May 30, 1989
H.J. MEYERS & CO., INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
