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DW

David W. Wessel

Some features on this profile are disabled
CRD#: 463719
DW

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 Warren Wessel SR, who also goes by David Warren Wessel, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1970. David had worked at 11 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Warren Wessel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 20, 2000 - July 2, 2001

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

December 8, 1998 - June 28, 1999

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

October 22, 1996 - April 3, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

June 1, 1992 - January 6, 1994

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

June 1, 1992 - April 3, 1998

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

October 13, 1986 - December 11, 1991

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

April 18, 1985 - August 15, 1986

CARDELL & ASSOCIATES, INCORPORATED

BD
CRD#: 7700
Past

June 20, 1984 - May 7, 1985

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
Past

May 15, 1974 - January 26, 1984

JONES FALLS SECURITIES INC.

BD
CRD#: 1437
Past

May 24, 1972 - June 4, 1973

BUSH AND COMPANY INCORPORATED

BD
CRD#: 1360
Past

February 9, 1971 - February 18, 1974

MARYLAND CAS CO

BD
CRD#: 1000005
Past

August 24, 1970 - February 26, 1974

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 1
Date: 8/27/1963
Registered Representative Examination

Current Firm

CS
CONSECO SECURITIES, INC.
CONSECO FINANCIAL SERVICES, INC. | MDS SECURITIES, A DIVISION OF CONSECO SECURITIES, INC. | MDS SECURITIES INCORPORATED | CONSECO SECURITIES, INC.

CRD#: 29367 / SEC#: , 8-44287

BD
Terminated by SEC on 09/29/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/21/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CONSECO INTERIM HOLDINGS CORPORATION (CIHC)SHAREHOLDER
BARRA, DAVID JOSEPHSENIOR VICE PRESIDENT/FINANCIAL & OPERATIONS PRINCIPAL4399587
CULLEMFIORE, MARGARET ANNVICE PRESIDENT, ASSOCIATE GENERAL COUNSEL & ASSISTANT SECRETARY/CHIEF COMPLIANCE OFFICER703791

Disclosures

Regulatory Event1

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.

Company Information

CONSECO SECURITIES, INC.

CRD#: 29367

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