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DAVID MORGAN CAUDILL
DAVID M CAUDILL
CRD#: 730826
IA
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WELLS FARGO ADVISORSCRD#: 19616 7400 W 130TH ST STES 200 & 400
OVERLAND PARK, KS 66213
OVERLAND PARK, KS 66213
View By:
9/16/2002
Customer Dispute
Denied
State Registrations
B
Alabama 3/26/2020
B
Nebraska 6/23/2022
B
Arizona 2/19/2010
B
Nevada 3/26/2020
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Arizona 2/14/2023
B
New Hampshire 7/1/2016
B
California 2/19/2010
B
New York 2/19/2010
B
Colorado 11/8/2013
B
North Carolina 2/19/2010
B
Florida 2/19/2010
B
Ohio 2/7/2012
B
Hawaii 4/11/2016
B
Oklahoma 2/19/2010
B
Illinois 2/19/2010
B
Pennsylvania 9/21/2022
B
Indiana 8/11/2014
B
South Carolina 2/26/2021
B
Iowa 3/23/2012
B
Texas 2/19/2010
B
Kansas 2/19/2010
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Texas 6/6/2019
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Kansas 2/19/2010
B
Virginia 2/11/2021
B
Michigan 2/19/2010
B
Washington 2/19/2010
B
Missouri 2/19/2010
B
Wisconsin 10/20/2023
SRO Registrations
B
B
B
B
B
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Registered with this firm since 2/19/2010
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Registered with this firm since 2/19/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/01/1997 - 03/03/2010 | LEAWOOD, KS | |
B | 01/28/1995 - 03/03/2010 | LEAWOOD, KS | |
B | 06/16/1988 - 01/28/1995 | NEW YORK, NY | |
B | 10/08/1986 - 06/13/1988 | ||
B | 07/13/1984 - 10/18/1986 | ||
B | 05/18/1981 - 07/13/1984 |
10/08/1986 - 06/13/1988
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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.