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David Stern

Wells Fargo Clearing Services, LLC

Los Angeles, 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
CA RA APPROVED 2023-10-12
TX RA APPROVED 2023-10-11
  • CA RA
    APPROVED
    Since 2023-10-12
  • TX RA
    APPROVED
    Since 2023-10-11

Branch Locations

1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 08/2016 09/2017
Northwestern Mutual Investment Services Llc Los Angeles CA 01/2017 09/2017
Pruco Securities Llc Sherman Oaks CA 10/2017 09/2018
The Prudential Insurance Company Of America Sherman Oaks CA 10/2017 09/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Beverly Hills CA 09/2018 10/2023
Bank Of America N.A. Beverly Hills CA 11/2018 10/2023
Wells Fargo Clearing Services, Llc Los Angeles CA 10/2023 Present
  • 08/2016 → 09/2017
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2017 → 09/2017
    Northwestern Mutual Investment Services Llc
    Los Angeles, CA
  • 10/2017 → 09/2018
    Pruco Securities Llc
    Sherman Oaks, CA
  • 10/2017 → 09/2018
    The Prudential Insurance Company Of America
    Sherman Oaks, CA
  • 09/2018 → 10/2023
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Beverly Hills, CA
  • 11/2018 → 10/2023
    Bank Of America N.A.
    Beverly Hills, CA
  • 10/2023 → Present
    Wells Fargo Clearing Services, Llc
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-02-07
S63 Uniform Securities Agent State Law Examination 2017-07-13
  • S65 Uniform Investment Adviser Law Examination
    2019-02-07
  • S63 Uniform Securities Agent State Law Examination
    2017-07-13
Other Names
  • David Gerald Stern

View on SEC IAPD

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GIDEON CAPITAL, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TLG ADVISORS, INC.
NORTHERN TRUST SECURITIES, INC.
NUVEEN ASSET MANAGEMENT, LLC
WEALTHSPIRE RETIREMENT ADVISORY

Other Investors

TERRENCE MICHAEL DEMOREST
DIMITRI JIMMY KRIKELAS
CHRISTOPHER MILES WERNER
Sarah Mushtaq Chhotani
Julie Ann Yoon
Olivia R DiNapoli
Natalie Jeanne-Marie Glover
JAMES EDGAR BERLINER

Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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