Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid M. Tatta is a financial professional with over 20 years of experience in the industry. David is currently registered with Wells Fargo Securities, LLC and has previously worked with Pershing LLC, HSBC Securities (USA) Inc., AIG Equity Sales Corp., Scudder Investor Services, Inc. and BT Brokerage Corporation. David holds FINRA Series 7, 6, 52, 22, 63, 82, 99, and SIE licenses.
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.
1
2
NY
07/06/2023 - Present
Wells Fargo Securities, LLC (New York NY)
NJ
10/13/2011 - 05/31/2023
PERSHING LLC (JERSEY CITY NJ)
NY
09/23/2010 - 07/27/2011
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
10/27/2006 - 12/15/2008
AIG EQUITY SALES CORP. (NEW YORK NY)
NY
07/01/2003 - 08/29/2005
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
NY
04/20/1998 - 07/06/2001
BT BROKERAGE CORPORATION (NEW YORK NY)
BC
Issued 05/12/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/06/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 07/06/2023
Series 99TO - Operations Professional Examination
BC
Issued 07/06/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/06/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 07/06/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/1998
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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