David W. Wells
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 Weston Wells was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 3 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
March 19, 2007 - October 31, 2014
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
December 18, 2000 - June 14, 2001
CREDIT SUISSE SECURITIES (USA) LLC
February 23, 1999 - December 18, 2000
PERSHING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
CRD#: 124902 / SEC#: 801-63079, 8-65737
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAYMEN, SHANNON | CEO/CFO/CCO/LIMITED PARTNER | 2099783 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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