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Detailed Report
GEORGE DAVID FRANKENSTEIN
CRD#: 212941
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 555 CALIFORNIA ST STE 2300
SAN FRANCISCO, CA 94104
Registration History
1970197519801985199019952000200520102015202020252 FIRMS2003 - 2016 (13 years)2 FIRMS2016 - Present (9 years)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1988 - 2003 (14 years)BL. F. ROTHSCHILD & CO. INCORPO... (CRD# 501)1967 - 1988 (20 years)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1977 - 1979 (2 years)BDREXEL BURNHAM & CO. INCORPORATED (CRD# 7013)1976 - 1977 (<1 year)BDREXEL BURNHAM & CO. INCORPORATED (CRD# 116)1973 - 1976 (2 years)BDUPONT WALSTON, INCORPORATED (CRD# 870)1970 - 1973 (2 years)IADONALDSON LUFKIN & JENRETTE SE... (CRD# 7560)1997 - 2003 (5 years)
License(s)

State Registrations

B
Arizona 1/14/2016
B
Texas 1/14/2016
B
California 1/14/2016
IA
Texas 1/15/2016
IA
California 1/14/2016
B
Washington 1/14/2016
B
Illinois 1/14/2016
B
Wyoming 1/14/2016
B
Nevada 1/14/2016

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)
555 CALIFORNIA ST STE 2300, SAN FRANCISCO, CA 94104
Registered with this firm since 1/14/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
555 CALIFORNIA ST STE 2300, SAN FRANCISCO, CA 94104
Registered with this firm since 1/14/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/17/2003 - 02/10/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) SAN FRANCISCO, CA
B
 01/17/2003 - 02/10/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) SAN FRANCISCO, CA
IA
 07/08/1997 - 01/17/2003 DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) SAN FRANCISCO, CA
B
 02/01/1988 - 01/17/2003 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
B
 05/17/1967 - 02/10/1988 L. F. ROTHSCHILD & CO. INCORPORATED (CRD#:501)
B
 01/06/1977 - 05/25/1979 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
B
 02/06/1976 - 01/06/1977 DREXEL BURNHAM & CO. INCORPORATED (CRD#:7013)
B
 04/18/1973 - 02/06/1976 DREXEL BURNHAM & CO. INCORPORATED (CRD#:116)
B
 06/19/1970 - 05/09/1973 DUPONT WALSTON, INCORPORATED (CRD#:870)
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.