David P. Wiener
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 P Wiener, who also goes by David Philip Wiener, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2021 - April 28, 2026
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
April 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.
Visual representation of state registrations
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 |
|---|---|---|
| 01/28/2026 | ||
| 10/24/2024 | ||
| 07/28/2023 |
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.
