David Francis Appel

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-03-05
CT	RA	APPROVED	2021-06-18

NY RA
APPROVED

Since 2024-03-05
CT RA
APPROVED

Since 2021-06-18

Branch Locations

2500 Westchester Ave Ste 201 [C3-Rbo], Purchase, NY 10577 • 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

Organization	City	State	From	To
Wachovia Bank, N.A.	White Plains	NY	08/2006	Present
Wells Fargo Advisors Llc	Yonkers	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Yonkers	NY	11/2016	Present

08/2006 → Present

Wachovia Bank, N.A.

White Plains, NY
05/2009 → 11/2016

Wells Fargo Advisors Llc

Yonkers, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

Yonkers, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-01-11
S63	Uniform Securities Agent State Law Examination	2008-04-21

S66 Uniform Combined State Law Examination

2021-01-11
S63 Uniform Securities Agent State Law Examination

2008-04-21

Other Names

David Appel

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews