David T. Rose
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 Thomas Rose, who also goes by David Rose, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2019 - September 28, 2020
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2019 - September 28, 2020
WELLS FARGO CLEARING SERVICES, LLC
February 13, 2014 - April 9, 2018
CETERA INVESTMENT ADVISERS LLC
June 12, 2013 - January 31, 2014
CETERA INVESTMENT SERVICES LLC
June 10, 2013 - April 9, 2018
CETERA INVESTMENT SERVICES LLC
August 17, 2012 - June 11, 2013
MSI FINANCIAL SERVICES, INC.
January 23, 2012 - June 11, 2013
MSI FINANCIAL SERVICES, INC.
August 23, 2011 - January 31, 2012
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
July 29, 2011 - January 17, 2012
CAPITAL GUARDIAN, LLC
February 7, 2007 - July 29, 2011
NBC SECURITIES, INC.
February 6, 2007 - July 29, 2011
NBC SECURITIES, INC.
June 22, 2004 - February 8, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
April 28, 2004 - February 8, 2007
AMSOUTH INVESTMENT SERVICES, INC.
April 1, 1998 - April 16, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 1998 - April 16, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 11, 1995 - April 1, 1998
BARNETT INVESTMENTS, INC.
July 14, 1994 - February 8, 1995
DETWILER FENTON WEALTH MANAGEMENT INC
August 9, 1993 - July 29, 1994
METROPOLITAN LIFE INSURANCE COMPANY
August 9, 1993 - July 29, 1994
MSI FINANCIAL SERVICES, INC.
June 10, 1992 - April 14, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 22, 1989 - May 6, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 22, 1989 - May 6, 1992
PRUCO SECURITIES, LLC.
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.
