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David Alan Horvath

Wells Fargo Clearing Services, LLC

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About David Alan Horvath

David Horvath is a financial professional with over 30 years of experience in the financial services industry. David is currently registered with Wells Fargo Clearing Services, LLC and is a licensed investment advisor in Texas. David has previously held positions at several other firms including Wells Fargo Investments, LLC, Chase Investment Services Corp., BANC One Securities Corporation, Liberty Securities Corporation, Capital Brokerage Corporation, Invest Financial Corporation, Transamerica Financial Resources, Inc., Pruco Securities Corporation, The Prudential Insurance Company of America, and Capstone Asset Planning Company. David holds a Series 6, Series 7 and Series 66 license and has passed the SIE exam. David has experience in providing investment consulting services to institutional clients, financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors.

Firm Information

David Horvath is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Horvath’s Registration & Firm History

TX

01/03/2011 - Present

Wells Fargo Clearing Services, LLC (AUSTIN TX)

TX

06/23/2006 - 01/03/2011

WELLS FARGO INVESTMENTS, LLC (AUSTIN TX)

TX

07/06/2005 - 06/06/2006

CHASE INVESTMENT SERVICES CORP. (AUSTIN TX)

IL

10/04/1999 - 07/06/2005

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

NY

01/30/1998 - 09/28/1998

LIBERTY SECURITIES CORPORATION (PURCHASE NY)

VA

09/17/1993 - 02/02/1998

CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)

WI

06/27/1992 - 02/08/1993

INVEST FINANCIAL CORPORATION (APPLETON WI)

CA

12/16/1991 - 07/02/1992

TRANSAMERICA FINANCIAL RESOURCES, INC. (LOS ANGELES CA)

NJ

09/27/1991 - 03/19/1992

PRUCO SECURITIES CORPORATION (NEWARK NJ)

NJ

09/27/1991 - 03/19/1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)

TX

12/15/1989 - 02/06/1990

CAPSTONE ASSET PLANNING COMPANY (HOUSTON TX)

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Licenses & Designations

BOTH

Issued 12/09/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/12/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/30/1998

Series 7 - General Securities Representative Examination

BC

Issued 12/13/1989

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Alan Horvath.
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