Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid James Richter is a financial professional with over 20 years of experience in the industry. David is currently registered with Wells Fargo Securities, LLC, and is licensed in 53 states, the District of Columbia, Puerto Rico, and the Virgin Islands. David has a broad range of experience in the securities industry, having previously worked at SG Americas Securities, LLC, Newedge USA, LLC, MF Global Inc., FIMAT Preferred LLC, PreferredTrade, Inc., Merrill Lynch Professional Clearing Corp., and ABN AMRO Sage Corporation. David has a wide array of licenses and credentials, including Series 3, 7, 22, 24, 26, 39, 52, 55, 57, 63, 82, 99, and SIE. David is committed to providing his clients with the highest quality financial advice and service.
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.
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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2
CA
11/24/2020 - Present
Wells Fargo Securities, LLC (SAN FRANCISCO CA)
NY
01/02/2015 - 11/01/2019
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
10/07/2010 - 01/02/2015
NEWEDGE USA, LLC (NEW YORK NY)
NY
01/13/2010 - 10/06/2010
MF GLOBAL INC. (NEW YORK NY)
CA
01/01/2007 - 01/11/2010
NEWEDGE USA, LLC (SAN FRANCISCO CA)
CA
07/01/2005 - 01/02/2007
FIMAT PREFERRED LLC (SAN FRANCISCO CA)
CA
09/22/2004 - 07/01/2005
PREFERREDTRADE, INC. (SAN FRANCISCO CA)
NY
05/04/2004 - 09/16/2004
MERRILL LYNCH PROFESSIONAL CLEARING CORP. (NEW YORK NY)
IL
06/07/2001 - 04/21/2004
ABN AMRO SAGE CORPORATION (CHICAGO IL)
BC
Issued 05/29/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 03/03/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2011
Series 3 - National Commodity Futures Examination
BC
Issued 03/27/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/05/2001
Series 7 - General Securities Representative Examination
Active
Inactive
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
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