David P. Wiener
Professional summary
David P Wiener, who also goes by David Philip Wiener, is a registered financial advisor currently at CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. located in Los Angeles, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David P Wiener's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2021 - Present
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
Office #1: 333 South Hope Street, Los Angeles, CA 90071Office #2: Steuart Tower 1 Market St., Suite 1800, San Francisco, CA 94105April 6, 2020 - July 1, 2021
CAPITAL BANK AND TRUST COMPANY
April 18, 2017 - March 17, 2020
DYNASTY WEALTH MANAGEMENT, LLC
October 31, 2016 - March 17, 2020
DYNASTY SECURITIES, LLC
December 9, 2002 - June 17, 2016
UBS FINANCIAL SERVICES INC.
December 9, 2002 - June 17, 2016
UBS FINANCIAL SERVICES INC.
November 26, 1991 - December 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 1991 - December 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/1/2021)
(7/1/2021)
(7/1/2021)
(7/1/2021)
(7/31/2021)
(7/1/2021)
Exams
Series 8
Date: 10/30/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,073 |
| AUM (Assets Under Management) | $ 42,713,999,861 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 07/28/2023 | ||
| 10/26/2022 |
Red Flags
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