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Detailed Report
DAVID THOMAS TRUMBLE
DAVID T TRUMBLE
CRD#: 1230746
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 770 TAMALPAIS DR STE 400
CORTE MADERA, CA 94925
Registration History
1985199019952000200520102015202020252 FIRMS2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1990 - 2008 (17 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1984 - 1990 (6 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2008 (10 years)
Disclosure(s)
View By:
8/1/2011
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/1/2008
B
Florida 3/4/2014
B
California 1/1/2008
B
Hawaii 12/19/2023
IA
California 1/1/2008
B
Nevada 1/1/2008
B
Colorado 1/1/2008
B
Wyoming 1/1/2008

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
770 TAMALPAIS DR STE 400, CORTE MADERA, CA 94925
Registered with this firm since 1/1/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
770 TAMALPAIS DR STE 400, CORTE MADERA, CA 94925
Registered with this firm since 1/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/07/1990 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN RAFAEL, CA
IA
 07/08/1997 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SAN RAFAEL, CA
B
 01/25/1984 - 05/24/1990 SHEARSON LEHMAN HUTTON INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.