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Detailed Report
DAVID CHAIM SENDOWSKI
DAVID SENDOWSKI
CRD#: 6102317
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2754 CARL T JONES DR
HUNTSVILLE, AL 35802
Registration History
201220142016201820202022202420262 FIRMS2018 - Present (6 years)BNYLIFE SECURITIES LLC (CRD# 5167)2016 - 2018 (2 years)BNYLIFE SECURITIES LLC (CRD# 5167)2014 - 2016 (1 year)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2013 (<1 year)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2012 - 2013 (<1 year)
Disclosure(s)
View By:
6/20/2016
Financial
Final
License(s)

State Registrations

B
Alabama 8/14/2018
B
Mississippi 8/3/2022
IA
Alabama 10/1/2018
B
New Mexico 1/28/2022
B
Florida 3/4/2021
B
North Carolina 5/21/2021
B
Massachusetts 1/3/2022
B
Tennessee 3/6/2019

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, 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)
2754 CARL T JONES DR, HUNTSVILLE, AL 35802
Registered with this firm since 10/1/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2754 CARL T JONES DR, HUNTSVILLE, AL 35802
Registered with this firm since 8/14/2018
Previous Registration(s)
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B
 06/20/2016 - 07/16/2018 NYLIFE SECURITIES LLC (CRD#:5167) HUNTSVILLE, AL
B
 02/04/2014 - 01/20/2016 NYLIFE SECURITIES LLC (CRD#:5167) HUNTSVILLE, AL
B
 05/16/2013 - 12/20/2013 BBVA SECURITIES INC. (CRD#:27060) MADISON, AL
B
 08/10/2012 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) MADISON, AL
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.