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Detailed Report
DAVID STEPHEN RANDLES JR
DAVID STEPHEN RANDLES, DAVID RANDLES
CRD#: 6837586
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 297 N HUBBARDS LN 2ND & 3RD FL
LOUISVILLE, KY 40207
Registration History
20172018201920202021202220232024202520262 FIRMS2024 - Present (<1 year)BBANKERS LIFE SECURITIES, INC. (CRD# 173962)2021 - 2022 (<1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2017 - 2021 (3 years)
License(s)

State Registrations

B
Alabama 12/4/2024
B
Michigan 12/4/2024
B
Alaska 12/4/2024
B
Minnesota 12/4/2024
B
Arizona 12/4/2024
B
Mississippi 12/4/2024
B
California 12/4/2024
B
Missouri 12/4/2024
B
Colorado 12/4/2024
B
New Jersey 12/4/2024
B
Delaware 12/4/2024
B
New York 12/4/2024
B
Florida 12/4/2024
B
North Carolina 12/4/2024
B
Georgia 12/4/2024
B
Ohio 12/5/2024
B
Hawaii 12/4/2024
B
Oregon 12/4/2024
B
Idaho 12/4/2024
B
Pennsylvania 12/4/2024
B
Illinois 12/4/2024
B
Rhode Island 12/4/2024
B
Indiana 12/4/2024
B
South Carolina 12/4/2024
B
Iowa 12/4/2024
B
Tennessee 12/4/2024
B
Kentucky 11/26/2024
B
Texas 12/4/2024
IA
Kentucky 11/26/2024
B
Vermont 12/4/2024
B
Louisiana 12/4/2024
B
Virginia 12/4/2024
B
Maryland 12/4/2024
B
Washington 12/4/2024
B
Massachusetts 12/4/2024
B
West Virginia 12/4/2024

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)
297 N HUBBARDS LN 2ND & 3RD FL, LOUISVILLE, KY 40207
Registered with this firm since 11/26/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
297 N HUBBARDS LN 2ND & 3RD FL, LOUISVILLE, KY 40207
Registered with this firm since 9/30/2024
Previous Registration(s)
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B
 11/03/2021 - 03/14/2022 BANKERS LIFE SECURITIES, INC. (CRD#:173962) New Albany, IN
B
 10/03/2017 - 04/27/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) STEAMBOAT SPRINGS, CO
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.