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David Winthrop Mills

Wells Fargo Clearing Services, LLC

Purchase, NY

Stamford, CT

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-07-03
CT RA APPROVED 2021-07-19
TX RA APPROVED_RES 2021-07-17
  • NY RA
    APPROVED
    Since 2023-07-03
  • CT RA
    APPROVED
    Since 2021-07-19
  • TX RA
    APPROVED_RES
    Since 2021-07-17

Branch Locations

2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • United States

Stamford, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc New York NY 11/2011 07/2021
Wells Fago Clearing Services, Llc Old Greenwich CT 07/2021 Present
  • 11/2011 → 07/2021
    Ubs Financial Services Inc
    New York, NY
  • 07/2021 → Present
    Wells Fago Clearing Services, Llc
    Old Greenwich, CT
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-12-28
S63 Uniform Securities Agent State Law Examination 1993-03-26
  • S66 Uniform Combined State Law Examination
    2011-12-28
  • S63 Uniform Securities Agent State Law Examination
    1993-03-26
Other Names
  • David W Mills

View on SEC IAPD

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Other Offices

GREENHAVEN ASSOCIATES INC · PURCHASE, NY
UBS FINANCIAL SERVICES INC. · Purchase, NY
NOW ASSET MANAGEMENT LLC · PURCHASE, NY
OTR GLOBAL LLC · PURCHASE, NY
JANNEY MONTGOMERY SCOTT LLC · PURCHASE, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PURCHASE, NY
GREYWOLF CAPITAL MANAGEMENT LP · PURCHASE, NY
OLSTEIN CAPITAL MANAGEMENT, L.P. · PURCHASE, NY

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