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Detailed Report
DAVID WILLIAM BORENSTEIN
CRD#: 1545420
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1700 K ST NW STE 875
WASHINGTON, DC 20006
Registration History
199019952000200520102015202020252 FIRMS2009 - Present (16 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (<1 year)BHALPERT AND COMPANY, INC. (CRD# 7094)1986 - 1993 (6 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1999 - 2009 (10 years)
License(s)

State Registrations

B
California 2/27/2009
B
Minnesota 4/2/2020
B
Connecticut 6/4/2018
B
New Hampshire 4/4/2024
B
Delaware 8/31/2021
B
New Jersey 2/27/2009
B
District of Columbia 2/27/2009
B
New York 2/27/2009
IA
District of Columbia 4/3/2009
B
North Carolina 2/27/2009
B
Florida 2/27/2009
B
Oregon 2/27/2009
B
Georgia 2/27/2009
B
Pennsylvania 2/27/2009
B
Indiana 5/2/2012
B
Texas 2/27/2009
B
Maryland 2/27/2009
B
Virginia 2/27/2009
B
Massachusetts 2/27/2009

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)
1700 K ST NW STE 875, WASHINGTON, DC 20006
Registered with this firm since 4/3/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1700 K ST NW STE 875, WASHINGTON, DC 20006
Registered with this firm since 2/27/2009
Previous Registration(s)
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IA
 01/28/1999 - 03/20/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WASHINGTON, DC
B
 07/31/1993 - 03/20/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WASHINGTON, DC
B
 12/17/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 08/19/1986 - 01/06/1993 HALPERT AND COMPANY, INC. (CRD#:7094) MILLBURN, NJ
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.