David L. Farrington
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 Lester Farrington was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1968. David had worked at 11 firms and has passed the Series 65, Series 63, Series 000, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2003 - January 3, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 3, 2005
WELLS FARGO CLEARING SERVICES, LLC
December 31, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 17, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 30, 1987 - November 3, 1987
LEGG MASON MASTEN INC.
March 25, 1980 - June 22, 1994
LEGG MASON WOOD WALKER, INCORPORATED
April 30, 1979 - April 1, 1980
UBS FINANCIAL SERVICES INC.
September 26, 1978 - March 22, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 27, 1975 - February 23, 1978
BIRR, WILSON & CO., INC.
September 10, 1973 - September 21, 1975
DEAN WITTER & CO. INCORPORATED
November 14, 1972 - October 24, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 9, 1972 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
December 11, 1968 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 000
Date: 12/6/1968
General Securities Principal ExaminationSeries 1
Date: 12/6/1968
Registered Representative ExaminationSeries 40
Date: 11/14/1975
Registered Principal ExaminationSeries 12
Date: 9/12/1975
NYSE Branch Manager ExaminationCurrent 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.
