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DAVID LEVIN
DAVE LEVIN
CRD#: 5986297
IA
B
WELLS FARGO ADVISORSCRD#: 19616 4655 EXECUTIVE DR STE 1000
[SC/SJ-RBO]
SAN DIEGO, CA 92121
[SC/SJ-RBO]
SAN DIEGO, CA 92121
0
Disclosures
13
Years of Experience
View By:
State Registrations
B
Arizona 1/30/2024
B
Nevada 2/23/2024
B
California 1/26/2024
B
New Mexico 6/7/2024
IA
California 1/29/2024
B
New York 10/30/2024
B
Florida 1/30/2024
B
Pennsylvania 1/30/2024
B
Illinois 1/30/2024
B
Texas 1/22/2025
B
Michigan 1/30/2024
IA
Texas 1/22/2025
B
Montana 10/11/2024
B
Virginia 1/30/2024
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/26/2024
B
Registered with this firm since 1/26/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/02/2020 - 01/26/2024 | SAN DIEGO, CA | |
B | 11/02/2020 - 01/26/2024 | San Diego, CA | |
IA | 11/08/2018 - 12/22/2020 | San Diego, CA | |
B | 04/12/2019 - 11/02/2020 | San Diego, CA | |
B | 11/03/2017 - 03/28/2019 | San Diego, CA | |
IA | 07/17/2013 - 10/12/2017 | CARLSBAD, CA | |
B | 10/01/2012 - 10/12/2017 | CARLSBAD, CA | |
B | 11/05/2011 - 10/01/2012 | SAN DIEGO, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.