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Detailed Report
DAVID ALEXANDER DAWKINS
CRD#: 703849
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 800 N MAGNOLIA AVE STE 1401
ORLANDO, FL 32803
Registration History
19801985199019952000200520102015202020252 FIRMS2002 - 2003 (<1 year)2 FIRMS2007 - 2010 (2 years)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - Present (13 years)BMCLAUGHLIN, PIVEN, VOGEL SECUR... (CRD# 7404)2005 - 2007 (2 years)BJACKSON SECURITIES LLC (CRD# 19897)2002 - 2002 (<1 year)BMCLAUGHLIN, PIVEN, VOGEL SECUR... (CRD# 7404)1982 - 2001 (18 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1982 - 1982 (<1 year)BOPPENHEIMER & CO., INC. (CRD# 630)1980 - 1981 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1980 - 1980 (<1 year)
License(s)

State Registrations

B
Florida 12/23/2013
IA
Missouri 8/18/2011
IA
Florida 12/26/2013
B
Missouri 2/3/2023
IA
Illinois 8/18/2011

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)
800 N MAGNOLIA AVE STE 1401, ORLANDO, FL 32803
Registered with this firm since 8/18/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
800 N MAGNOLIA AVE STE 1401, ORLANDO, FL 32803
Registered with this firm since 8/18/2011
Previous Registration(s)
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IA
 04/12/2011 - 08/16/2011 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SHORT HILLS, NJ
B
 04/11/2011 - 08/16/2011 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SHORT HILLS, NJ
IA
 05/10/2007 - 04/08/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
 05/09/2007 - 04/08/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 03/31/2005 - 04/13/2007 MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (CRD#:7404) CHICAGO, IL
IA
 09/18/2002 - 06/13/2003 BEAR, STEARNS & CO. INC. (CRD#:79) CHICAGO, IL
B
 09/16/2002 - 06/13/2003 BEAR, STEARNS & CO. INC. (CRD#:79) NEW YORK, NY
B
 05/01/2002 - 09/27/2002 JACKSON SECURITIES LLC (CRD#:19897) ATLANTA, GA
B
 08/03/1982 - 06/14/2001 MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (CRD#:7404) NEW YORK, NY
B
 03/29/1982 - 07/30/1982 THOMSON MCKINNON SECURITIES INC. (CRD#:829)
B
 06/03/1980 - 09/11/1981 OPPENHEIMER & CO., INC. (CRD#:630)
B
 01/19/1980 - 06/30/1980 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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.