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Detailed Report
DAVID ARTHUR WALSH
DAVID WALSH
CRD#: 3190128
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 15801 BRIXHAM HILL AVE
STE 100
CHARLOTTE, NC 28277
Registration History
20002002200420062008201020122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2006 - Present (19 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2000 - Present (24 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1999 - 2000 (1 year)
Disclosure(s)
View By:
10/12/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 10/1/2000
B
Minnesota 10/1/2000
B
Alaska 10/1/2000
B
Mississippi 10/1/2000
B
Arizona 10/1/2000
B
Missouri 10/6/2000
B
Arkansas 10/1/2000
B
Nevada 10/1/2000
B
California 10/1/2000
B
New Hampshire 10/1/2000
B
Colorado 10/1/2000
B
New Jersey 10/1/2000
B
Connecticut 10/1/2000
B
New Mexico 10/1/2000
B
Delaware 10/1/2000
B
New York 10/1/2000
B
District of Columbia 10/1/2000
B
North Carolina 10/1/2000
B
Florida 10/1/2000
IA
North Carolina 2/9/2006
B
Georgia 10/1/2000
B
Ohio 10/1/2000
B
Hawaii 10/5/2000
B
Oklahoma 10/1/2000
B
Idaho 10/1/2000
B
Oregon 10/1/2000
B
Illinois 10/1/2000
B
Pennsylvania 10/1/2000
B
Indiana 10/1/2000
B
South Carolina 10/1/2000
B
Iowa 10/1/2000
B
South Dakota 10/6/2021
B
Kansas 10/1/2000
B
Tennessee 10/1/2000
B
Kentucky 10/1/2000
B
Texas 10/1/2000
B
Louisiana 10/1/2000
B
Vermont 10/1/2000
B
Maine 9/5/2013
B
Virginia 10/1/2000
B
Maryland 10/1/2000
B
Washington 10/1/2000
B
Massachusetts 10/1/2000
B
Wisconsin 10/1/2000
B
Michigan 10/1/2000

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)
15801 BRIXHAM HILL AVE STE 100, CHARLOTTE, NC 28277
Registered with this firm since 2/9/2006
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
15801 BRIXHAM HILL AVE STE 100, CHARLOTTE, NC 28277
Registered with this firm since 10/1/2000
Previous Registration(s)
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B
 03/10/1999 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
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.