• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
DAVID LYNN THERIAULT
CRD#: 2260353
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1605 MAIN ST
12TH & 14TH FLS
SARASOTA, FL 34236
Registration History
19952000200520102015202020252 FIRMS1992 - 2008 (16 years)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2018 (9 years)2 FIRMS2018 - Present (6 years)
Disclosure(s)
View By:
12/10/2013
Customer Dispute
Settled
8/14/2001
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 9/7/2018

B
New Hampshire 9/7/2018

B
California 9/7/2018

B
New Jersey 9/7/2018

B
Colorado 5/9/2023

B
New York 9/7/2018

B
Florida 9/7/2018

B
North Carolina 1/7/2022

IA
Florida 9/10/2018

B
Ohio 9/7/2018

B
Georgia 8/11/2023

B
Pennsylvania 9/7/2018

B
Idaho 2/14/2019

B
Rhode Island 8/14/2024

B
Illinois 5/9/2019

B
South Carolina 12/15/2021

B
Kansas 9/7/2018

B
Texas 9/7/2018

B
Maine 10/2/2020

IA
Texas 9/12/2018

B
Massachusetts 11/13/2020

B
Virginia 9/14/2020

B
Michigan 9/7/2018

B
Washington 9/7/2018

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)
1605 MAIN ST 12TH & 14TH FLS, SARASOTA, FL 34236
SARASOTA, FL
Registered with this firm since 9/10/2018

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1605 MAIN ST 12TH & 14TH FLS, SARASOTA, FL 34236
SARASOTA, FL
Registered with this firm since 9/7/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 09/10/2018 MORGAN STANLEY (CRD#:149777) Punta Gorda, FL
B
06/01/2009 - 09/10/2018 MORGAN STANLEY (CRD#:149777) Punta Gorda, FL
IA
10/24/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
B
10/24/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
IA
10/13/1992 - 10/30/2008 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) CLEARWATER, FL
B
09/17/1992 - 10/30/2008 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) CLEARWATER, FL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.