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David Gary Halperin

Wells Fargo Clearing Services, LLC

Pleasanton, CA

Pleasanton, 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 2017-03-30
CA RA APPROVED 2009-02-23
  • TX RA
    APPROVED_RES
    Since 2017-03-30
  • CA RA
    APPROVED
    Since 2009-02-23

Branch Locations

4309 Hacienda Drive Ste 300, Pleasanton, CA 94588 • United States

Pleasanton, 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 Pleasanton CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Pleasanton CA 11/2016 Present
Previous Registrations
Other Businesses

TRUSTEE FOR FATHER, INV RELATED, DUBLIN, CA, START: 3/11/2023, 2 HOURS A MONTH, 0 HOURS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-07
S63 Uniform Securities Agent State Law Examination 1995-09-25
  • S65 Uniform Investment Adviser Law Examination
    2001-03-07
  • S63 Uniform Securities Agent State Law Examination
    1995-09-25

View on SEC IAPD

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