David Oscar Difilippo

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
NC	RA	APPROVED	2019-05-23

NC RA
APPROVED

Since 2019-05-23

Branch Locations

Raleigh , NC • United States

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • 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
Morgan Keegan & Company, Inc.	Raleigh	NC	08/1995	04/2019
Raymond James & Associates, Inc.	Raleigh	NC	02/2013	04/2019
Wells Fargo Clearing Services, Llc	Raleigh	NC	04/2019	Present

08/1995 → 04/2019

Morgan Keegan & Company, Inc.

Raleigh, NC
02/2013 → 04/2019

Raymond James & Associates, Inc.

Raleigh, NC
04/2019 → Present

Wells Fargo Clearing Services, Llc

Raleigh, NC

Previous Registrations

2013-02-13 → 2019-05-02

Raymond James & Associates, Inc.

Raleigh, NC
2001-12-31 → 2013-02-13

Morgan Keegan & Company, Llc

Raleigh, NC

Raleigh, NC

Other Businesses

GREG MARTIN ESTATE; INV RELATED; RALEIGH,NC; CLIENT'S EXECUTOR ; EXECUTOR/CO-EXECUTOR/PERSONAL REPRESENTATIVE; START DATE: 01/05/2026; 5 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-12-12
S63	Uniform Securities Agent State Law Examination	1981-07-29

S65 Uniform Investment Adviser Law Examination

1997-12-12
S63 Uniform Securities Agent State Law Examination

1981-07-29

Designations

View on SEC IAPD