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DW

David F. Wilson

Some features on this profile are disabled
CRD#: 468941
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 Fay Wilson was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1970. David had worked at 7 firms and has passed the Series 63, Series 5, PC, Series 000, Series 1 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 16, 2000 - April 1, 2002

RAGEN MACKENZIE INVESTMENT SERVICES, LLC

BD
CRD#: 17525
SEATTLE, WA
Past

May 1, 1989 - October 9, 2000

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

September 25, 1980 - June 6, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

September 12, 1978 - October 25, 1980

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

March 22, 1976 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

BD
CRD#: 6361
Past

November 8, 1974 - April 22, 1976

SHEARSON HAYDEN STONE INC.

BD
CRD#: 6774
Past

February 17, 1970 - November 8, 1974

SHEARSON, HAMMILL & CO., INCORPORATED

BD
CRD#: 766

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

State Security Law Exam
RR
Series 63
Date: 5/13/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 11/30/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
PC
Date: 9/2/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 000
Date: 2/13/1970
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 2/13/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/13/1977
Registered Options Principal Examination

Current Firm

RM
RAGEN MACKENZIE INVESTMENT SERVICES, LLC
COLUMBIA PACIFIC SECURITIES, INC. | RAGEN MACKENZIE INVESTMENT SERVICES, LLC | RAGEN MACKENZIE INVESTMENT SERVICES, INC.

CRD#: 17525 / SEC#: , 8-35370

BD
Terminated by SEC on 08/02/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WELLS FARGO INVESTMENT GROUP, INCDIRECT OWNER
ANTONIADES, ADAM NICHOLASDIRECTOR2261744
BENSUSSEN, VICTOR LAWRENCEDIRECTOR1523151
MEINERS, JON HENRYCROP, SROP, SEC, TREASURER, CFO, CEO, DIR1267719
MEINERS, MICHAEL DAVIDPRESIDENT, DIRECTOR1132826

Disclosures

Regulatory Event4

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

RAGEN MACKENZIE INVESTMENT SERVICES, LLC

CRD#: 17525

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