Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • 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.
< Back to Results
Detailed Report
DAVID THORNBERRY
DAVE THORNBERRY, DAVID SCOTT THORNBERRY
CRD#: 4752161
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 ARNOLD, MO
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)2 FIRMS2024 - Present (<1 year)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2012 - 2014 (2 years)BMETLIFE SECURITIES INC. (CRD# 14251)2011 - 2012 (1 year)BEDWARD JONES (CRD# 250)2004 - 2011 (7 years)
License(s)

State Registrations

B
Missouri 7/25/2014
IA
Missouri 12/10/2014

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#:11025)
ARNOLD, MO
ONE NORTH JEFFERSON AVENUE MAIL CODE: H0004-05E, ST. LOUIS, MO 63103
Registered with this firm since 6/17/2024
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
ARNOLD, MO
ONE NORTH JEFFERSON AVENUE H0004-05C, ST. LOUIS, MO 63103
Registered with this firm since 6/17/2024
IA
WELLS FARGO ADVISORS (CRD#:19616)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
ARNOLD, MO
Registered with this firm since 12/10/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
ONE N JEFFERSON AVE, ST. LOUIS, MO 63103
ARNOLD, MO
Registered with this firm since 7/25/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 04/10/2012 - 07/22/2014 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) ST. LOUIS, MO
B
 04/19/2011 - 04/17/2012 METLIFE SECURITIES INC. (CRD#:14251) ST. LOUIS, MO
B
 03/25/2004 - 04/20/2011 EDWARD JONES (CRD#:250) ARNOLD, MO
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.