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DY

David Yerty

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CRD#: 6852630
DY

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 Yerty, who also goes by David Michael Yerty, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2018. David had worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Michael Yerty

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

August 10, 2018 - September 4, 2020

WELLS FARGO PRIME SERVICES, LLC

BD
CRD#: 133068
New York, NY
Past

April 4, 2018 - September 4, 2020

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC

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
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 4/4/2018
Operations Professional Examination

Current Firm

WF
WELLS FARGO PRIME SERVICES, LLC
MERLIN SECURITIES, LLC | WELLS FARGO PRIME SERVICES, LLC | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING

CRD#: 133068 / SEC#: , 8-66677

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
333 Market Street, San Francisco, CA 94105
Mailing Address
333 Market Street, San Francisco, CA 94105
Phone number
(212) 822-4800
Established
Delaware since 02/26/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EVEREN CAPITAL CORPORATIONOWNER
CONNOR, TIMOTHY MICHAELPRINCIPAL FINANCIAL OFFICER8157713
HALL, JEFFREYCHIEF OPERATIONS OFFICER5292396
KEARNS, WILLIAM JMANAGER2127701
LANGIS, DARREN JOSEPHMANAGER2781108
LEONE, JOHNMANAGER7164476
MCCOOEY, EAMON PATRICKCEO, PRESIDENT, MANAGER1762536
RILEY, MICHAEL FRANCISMANAGER4165280
YI, SCOTT HUNCHIEF COMPLIANCE OFFICER3152646

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

WELLS FARGO PRIME SERVICES, LLC

CRD#: 133068

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