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Detailed Report
DAVID ALEX CICCONE
DAVID alex CICCONE, DAVID CICCONE
CRD#: 2390835
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1650 TYSONS BLVD
STE 500
MCLEAN, VA 22102
Registration History
19952000200520102015202020252 FIRMS2000 - 2005 (4 years)2 FIRMS2005 - 2010 (4 years)2 FIRMS2010 - 2020 (10 years)2 FIRMS2020 - Present (4 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 2000 (6 years)BMONTANO SECURITIES CORPORATION (CRD# 7887)1993 - 1993 (<1 year)
License(s)

State Registrations

B
Arizona 5/22/2020
B
New Hampshire 5/22/2020
B
California 5/22/2020
B
New Jersey 5/22/2020
B
Colorado 5/22/2020
B
New Mexico 11/5/2021
B
Connecticut 2/7/2025
B
New York 5/22/2020
B
Delaware 6/11/2020
B
North Carolina 5/22/2020
B
District of Columbia 5/22/2020
B
Ohio 5/22/2020
B
Florida 5/22/2020
B
Oregon 8/19/2020
IA
Florida 1/15/2025
B
Pennsylvania 5/22/2020
B
Georgia 5/26/2020
B
Rhode Island 1/31/2025
B
Hawaii 1/31/2025
B
South Carolina 5/22/2020
B
Illinois 5/27/2020
B
Tennessee 5/22/2020
B
Iowa 11/5/2021
B
Texas 5/22/2020
B
Kansas 5/22/2020
IA
Texas 5/22/2020
B
Maryland 5/22/2020
B
Utah 5/22/2020
B
Massachusetts 5/22/2020
B
Vermont 11/29/2024
B
Michigan 5/22/2020
B
Virginia 5/22/2020
B
Minnesota 5/22/2020
IA
Virginia 5/22/2020
B
Mississippi 11/5/2021
B
Washington 5/22/2020
B
Missouri 1/31/2025
B
West Virginia 5/22/2020
B
Nevada 5/22/2020

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, 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)
1650 TYSONS BLVD STE 500, MCLEAN, VA 22102
VIENNA, VA
Registered with this firm since 5/22/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1650 TYSONS BLVD STE 500, MCLEAN, VA 22102
VIENNA, VA
Registered with this firm since 5/22/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/16/2010 - 06/19/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) VIENNA, VA
B
 04/16/2010 - 06/19/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) VIENNA, VA
IA
 05/13/2005 - 04/21/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) RESTON, VA
B
 05/13/2005 - 04/21/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) RESTON, VA
IA
 08/29/2000 - 05/17/2005 MORGAN STANLEY (CRD#:7556) RESTON, VA
B
 08/14/2000 - 05/17/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 11/01/1993 - 08/23/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 09/13/1993 - 11/10/1993 MONTANO SECURITIES CORPORATION (CRD#:7887) ORANGE, CA
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.