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David Frank

Wells Fargo Securities, LLC

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About David Frank

David Frank is an active broker, registered with FINRA and in 53 states. David is also registered with Wells Fargo Securities, LLC. David has been in the industry since 2004. David has a Series 7, Series 63, Series 57TO, Series 99TO and SIE. David was previously registered with WELLS FARGO PRIME SERVICES, LLC, LIQUID PRIME SERVICES, INC., and GOLDMAN SACHS EXECUTION & CLEARING, L.P.. David’s current branch office is located in New York, NY.

Firm Information

David Frank is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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.

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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David Frank’s Registration & Firm History

NY

08/01/2017 - Present

Wells Fargo Securities, LLC (New York NY)

NY

08/12/2015 - 08/30/2017

WELLS FARGO PRIME SERVICES, LLC (NEW YORK NY)

NY

11/19/2013 - 02/18/2015

LIQUID PRIME SERVICES, INC. (NEW YORK NY)

NY

09/26/2003 - 11/11/2013

GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/20/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Frank.
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