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David Maxwell

Wells Fargo Clearing Services, LLC

Riverside, CA

Corona, CA

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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 2018-10-08
CA RA APPROVED 2012-06-07
  • TX RA
    APPROVED_RES
    Since 2018-10-08
  • CA RA
    APPROVED
    Since 2012-06-07

Branch Locations

3880 Lemon St Ste 510, Riverside, CA 92501 • United States

Corona, CA • 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
Wells Fargo Advisors Llc Newport Beach CA 06/2012 11/2016
Wells Fargo Bank Na Newport Beach CA 10/2011 Present
Wells Fargo Clearing Services, Llc Newport Beach CA 11/2016 Present
  • 06/2012 → 11/2016
    Wells Fargo Advisors Llc
    Newport Beach, CA
  • 10/2011 → Present
    Wells Fargo Bank Na
    Newport Beach, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Newport Beach, CA
Previous Registrations
  • 2009-04-07 → 2011-11-07
    Waddell & Reed
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-04-06
  • S66 Uniform Combined State Law Examination
    2009-04-06

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · RIVERSIDE, CA
CETERA INVESTMENT ADVISERS LLC · Riverside, CA
UBS FINANCIAL SERVICES INC. · RIVERSIDE, CA
AMERIPRISE FINANCIAL SERVICES, LLC · RIVERSIDE, CA
EDWARD JONES · RIVERSIDE, CA
LPL FINANCIAL LLC · RIVERSIDE, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Riverside, CA
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