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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
TX RA APPROVED_RES 2024-01-10
LA RA APPROVED 2020-12-18
NC RA APPROVED 2020-12-17
CA RA APPROVED 2020-12-08
OH RA APPROVED 2020-12-08
  • TX RA
    APPROVED_RES
    Since 2024-01-10
  • LA RA
    APPROVED
    Since 2020-12-18
  • NC RA
    APPROVED
    Since 2020-12-17
  • CA RA
    APPROVED
    Since 2020-12-08
  • OH RA
    APPROVED
    Since 2020-12-08

Branch Locations

1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank Na Los Angeles CA 10/2012 12/2020
J.P. Morgan Securities Llc Los Angeles CA 10/2012 12/2020
Wells Fargo Clearing Services, Llc Century City CA 12/2020 Present
Previous Registrations
Other Businesses

DYNAMIC AG INC. LLC, INVT RELATED, MANHATTAN BEACH, CA, 10% OWNERSHIP WITH SPOUSE, START DATE 9/28/2021, 0 HRS PER MONTH, 0 HRS DURING TRADING, SILENT PARTNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-23
  • S66 Uniform Combined State Law Examination
    2004-04-23
Other Names
  • David C Romans
  • David C Romans

View on SEC IAPD

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