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Detailed Report
DAVID FLORES
CRD#: 6896660
IA
Investment Adviser
B
Broker
CUSO FINANCIAL SERVICES, L.P.CRD#: 42132 1520 W COLORADO BLVD
Pasadena, CA 91105
Registration History
2018201920202021202220232024202520262 FIRMS2023 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2018 - 2023 (4 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2022 - 2023 (<1 year)
License(s)

State Registrations

B
Alaska 5/24/2023
B
Missouri 5/24/2023
B
Arizona 5/24/2023
B
Nevada 5/25/2023
B
California 2/13/2023
B
Oregon 5/24/2023
IA
California 2/14/2023
B
South Dakota 2/20/2025
B
Colorado 5/24/2023
B
Tennessee 2/20/2025
B
Florida 5/24/2023
B
Texas 5/24/2023
B
Hawaii 2/14/2025
IA
Texas 2/20/2025
B
Idaho 5/24/2023
B
Utah 5/24/2023
B
Louisiana 5/24/2023
B
Washington 1/22/2025
B
Maine 5/25/2023

SRO Registrations

B
 FINRA

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
CUSO FINANCIAL SERVICES, L.P. (CRD#:42132)
1520 W COLORADO BLVD, Pasadena, CA 91105
Registered with this firm since 2/14/2023
B
CUSO FINANCIAL SERVICES, L.P. (CRD#:42132)
1520 W COLORADO BLVD, Pasadena, CA 91105
Registered with this firm since 2/13/2023
Previous Registration(s)
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IA
 03/21/2022 - 02/14/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LOS ANGELES, CA
B
 03/07/2018 - 02/14/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LOS ANGELES, CA
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.