David Richard Conroy

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
TX	RA	APPROVED_RES	2025-07-29
CA	RA	APPROVED	2006-09-29

TX RA
APPROVED_RES

Since 2025-07-29
CA RA
APPROVED

Since 2006-09-29

Branch Locations

27201 Puerta Real Ste 220, Mission Viejo, CA 92691 • United States

Rancho Santa Margarita, CA • United States

Disclosures

2 disclosure categories 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Mission Viejo	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Mission Viejo	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Mission Viejo, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Mission Viejo, CA

Previous Registrations

2001-08-13 → 2006-10-09

Citigroup Global Markets Inc.

Laguna Niguel, CA

Laguna Niguel, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-12-13
S63	Uniform Securities Agent State Law Examination	1991-09-11

S65 Uniform Investment Adviser Law Examination

1994-12-13
S63 Uniform Securities Agent State Law Examination

1991-09-11

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews