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Detailed Report
DAVID JOSEPH CHASE
CRD#: 5501733
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 30 S WACKER DR 39TH FL
CHICAGO, IL 60606
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2012 (4 years)2 FIRMS2012 - 2015 (3 years)2 FIRMS2015 - Present (9 years)
License(s)

State Registrations

B
Arizona 1/12/2021
B
Michigan 12/16/2015
B
California 1/11/2021
B
Minnesota 6/2/2020
B
Colorado 1/12/2021
B
Missouri 1/12/2021
B
Connecticut 1/12/2021
B
New Jersey 5/23/2017
B
Florida 12/16/2015
B
New York 12/16/2015
B
Georgia 1/11/2021
B
North Carolina 1/12/2021
B
Hawaii 1/11/2021
B
Ohio 12/16/2015
B
Illinois 12/16/2015
B
Oregon 12/16/2015
IA
Illinois 12/16/2015
B
Pennsylvania 6/18/2020
B
Indiana 1/7/2021
B
Virginia 3/21/2022
B
Iowa 1/12/2021
B
Washington 9/23/2020
B
Louisiana 1/14/2025
B
Wisconsin 1/11/2021
B
Massachusetts 2/20/2020

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)
30 S WACKER DR 39TH FL, CHICAGO, IL 60606
Registered with this firm since 12/16/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
30 S WACKER DR 39TH FL, CHICAGO, IL 60606
Registered with this firm since 12/16/2015
Previous Registration(s)
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IA
 10/17/2012 - 12/28/2015 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) CHICAGO, IL
B
 10/17/2012 - 12/28/2015 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) CHICAGO, IL
IA
 05/12/2008 - 10/05/2012 ALLIANCEBERNSTEIN L.P. (CRD#:108477) CHICAGO, IL
B
 04/23/2008 - 10/05/2012 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) CHICAGO, IL
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.