Individual Firm
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DAVID BRENDAN PERKINS SR.
DAVID BRENDAN PERKINS
CRD#: 2229199
IA
B
WELLS FARGO ADVISORSCRD#: 19616 2001 SW 17TH ST
OCALA, FL 34471
OCALA, FL 34471
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4/18/2006
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 6/12/2007
B
Nebraska 4/20/2017
B
Arizona 12/13/2022
B
New Jersey 4/1/2016
B
California 6/24/2022
B
New York 3/20/2019
B
Connecticut 4/24/2020
B
North Carolina 5/31/2007
B
Florida 6/11/2007
B
Ohio 11/10/2016
IA
Florida 6/11/2007
B
Oregon 6/2/2017
B
Georgia 8/1/2018
B
Pennsylvania 7/23/2008
B
Indiana 9/6/2024
B
South Carolina 6/24/2020
B
Iowa 6/5/2024
B
Tennessee 10/7/2021
B
Kansas 4/9/2015
B
Texas 2/27/2019
B
Maine 7/24/2019
IA
Texas 2/27/2019
B
Maryland 4/2/2025
B
Utah 9/11/2020
B
Massachusetts 1/7/2019
B
Virginia 1/26/2022
B
Michigan 4/14/2022
B
West Virginia 7/26/2024
B
Mississippi 5/31/2007
B
Wisconsin 5/31/2007
B
Missouri 3/12/2024
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 6/11/2007
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Registered with this firm since 5/31/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/05/1992 - 05/31/2007 | OCALA, FL | |
B | 10/29/1992 - 05/31/2007 | OCALA, FL | |
B | 04/20/1992 - 09/29/1992 | GREENWOOD VILLAGE, CO |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.