David Wess
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 Wess was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2020 - November 15, 2024
MID-MARKET SECURITIES, LLC
December 12, 2012 - June 26, 2018
AVANTAX INVESTMENT SERVICES, INC.
August 13, 2007 - May 18, 2012
AVANTAX INVESTMENT SERVICES, INC.
June 18, 1997 - March 29, 2006
QUEST CAPITAL STRATEGIES, INC.
March 1, 1995 - June 23, 1995
FIRST NATIONAL EQUITY, CORP.
September 17, 1993 - January 21, 1995
MONTANO SECURITIES CORPORATION
December 20, 1988 - November 25, 1991
THE WINDMILL GROUP, 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
Current Firm
MID-MARKET SECURITIES, LLC
CRD#: 126750 / SEC#: , 8-65905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WIEN, ROBERT WILLIAM | PRESIDENT & CEO/GSP/CCO/FINOP | 2289694 |
Disclosures
| Regulatory Event | 2 |
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.
