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Detailed Report
DAVID HARRISON RASCOE
DAVID H RASCOE
CRD#: 2120849
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 600 W BROADWAY STE 1450
ONE AMERICA PLAZA
SAN DIEGO, CA 92101
Registration History
19952000200520102015202020252 FIRMS1997 - 2003 (6 years)2 FIRMS2003 - 2013 (9 years)2 FIRMS2013 - 2024 (11 years)2 FIRMS2024 - Present (<1 year)BSMITH BARNEY INC. (CRD# 7059)1994 - 1997 (2 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1991 - 1994 (3 years)
Disclosure(s)
View By:
2/7/2003
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Arizona 9/26/2024
B
Nevada 9/27/2024
B
Arkansas 9/26/2024
B
New Jersey 9/26/2024
B
California 9/26/2024
B
New Mexico 9/26/2024
IA
California 9/26/2024
B
New York 9/26/2024
B
Colorado 9/26/2024
B
North Carolina 10/7/2024
B
Connecticut 9/26/2024
B
Ohio 9/26/2024
B
Florida 9/27/2024
B
Oregon 9/30/2024
B
Georgia 9/26/2024
B
South Carolina 2/10/2025
B
Idaho 9/26/2024
B
South Dakota 9/26/2024
B
Illinois 10/3/2024
B
Tennessee 9/26/2024
B
Indiana 9/30/2024
B
Texas 9/26/2024
B
Kansas 9/26/2024
IA
Texas 9/26/2024
B
Kentucky 9/26/2024
B
Utah 9/26/2024
B
Maryland 9/26/2024
B
Virginia 9/26/2024
B
Michigan 9/26/2024
B
Washington 10/2/2024
B
Mississippi 9/26/2024
B
Wisconsin 9/26/2024
B
Nebraska 10/1/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
600 W BROADWAY STE 1450 ONE AMERICA PLAZA, SAN DIEGO, CA 92101
Registered with this firm since 9/26/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
600 W BROADWAY STE 1450 ONE AMERICA PLAZA, SAN DIEGO, CA 92101
Registered with this firm since 9/26/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/15/2013 - 10/01/2024 MORGAN STANLEY (CRD#:149777) San Diego, CA
B
 02/15/2013 - 10/01/2024 MORGAN STANLEY (CRD#:149777) San Diego, CA
IA
 07/01/2003 - 02/19/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN DIEGO, CA
B
 07/01/2003 - 02/19/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN DIEGO, CA
IA
 07/08/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) SAN DIEGO, CA
B
 06/20/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 09/30/1994 - 07/02/1997 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 01/23/1991 - 10/20/1994 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, 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.