David R. 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 R Wells, who also goes by David Wells, David Richard Wells, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2024 - June 19, 2025
CHARLES SCHWAB & CO., INC.
August 4, 2022 - January 10, 2024
CHARLES SCHWAB & CO., INC.
June 25, 2021 - July 29, 2021
PFS INVESTMENTS INC.
October 30, 2015 - August 16, 2019
EMPOWER FINANCIAL SERVICES, INC.
April 3, 2012 - May 21, 2015
CETERA ADVISORS LLC
November 30, 2010 - March 9, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 23, 2010 - December 1, 2010
PFS INVESTMENTS INC.
February 8, 2006 - April 10, 2008
JANUS HENDERSON DISTRIBUTORS US LLC
February 23, 2005 - October 31, 2005
AMERIPRISE ADVISOR SERVICES, INC.
September 18, 2001 - December 31, 2003
VOYA FINANCIAL ADVISORS, INC.
July 27, 2001 - December 17, 2004
CETERA ADVISORS LLC
July 25, 2001 - December 31, 2003
VESTAX SECURITIES CORPORATION
July 18, 2001 - November 14, 2003
BANCWEST INVESTMENT SERVICES, INC.
July 18, 2001 - December 31, 2003
CETERA INVESTMENT SERVICES LLC
July 18, 2001 - December 31, 2003
GUARANTY BROKERAGE SERVICES, INC.
July 18, 2001 - December 31, 2003
BANCNORTH INVESTMENT GROUP, INC.
July 3, 2001 - December 31, 2003
IFG NETWORK SECURITIES, INC.
July 2, 2001 - December 31, 2002
LOCUST STREET SECURITIES, INC.
March 22, 2001 - December 31, 2003
CETERA WEALTH SERVICES, LLC
October 20, 1998 - February 5, 2001
CETERA WEALTH SERVICES, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
