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David Kenneth Mccurdy

Wells Fargo Clearing Services, LLC

Raleigh, NC

Raleigh, NC

CRD 5558083

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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 2013-07-17
NC RA APPROVED 2008-09-08
  • TX RA
    APPROVED_RES
    Since 2013-07-17
  • NC RA
    APPROVED
    Since 2008-09-08

Branch Locations

7600 Creedmoor Rd, Raleigh, NC 27613 • United States

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • 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
Wachovia Bank, N.A. Raleigh NC 01/2004 Present
Wells Fargo Advisors Llc Raleigh NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Raleigh NC 11/2016 Present
  • 01/2004 → Present
    Wachovia Bank, N.A.
    Raleigh, NC
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Raleigh, NC
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Raleigh, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-09-05
S63 Uniform Securities Agent State Law Examination 2008-08-20
  • S65 Uniform Investment Adviser Law Examination
    2008-09-05
  • S63 Uniform Securities Agent State Law Examination
    2008-08-20
Other Names
  • David Mccurdy
  • Ken Mccurdy

View on SEC IAPD

Nearby Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP

Nearby Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH

Nearby Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC

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