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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Moore has been in the financial services industry since December 20, 1983. David is currently registered with Wells Fargo Clearing Services, LLC. David specializes in providing investment advice to high net worth individuals, corporations, and other institutions. David is also a registered investment advisor, providing advisory services to individuals, corporations, and other entities. Prior to joining Wells Fargo Clearing Services, LLC, David worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wachovia Securities, LLC. David holds the Series 3, 7, and 66 licenses, as well as the Securities Industry Essentials Examination.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
01/12/2021 - Present
Wells Fargo Clearing Services, LLC (NEWPORT BEACH CA)
CA
11/06/2008 - 10/31/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
CA
07/01/2003 - 11/07/2008
WACHOVIA SECURITIES, LLC (NEWPORT BEACH CA)
NY
08/29/1994 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/19/1989 - 08/30/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
01/08/1988 - 06/06/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
12/21/1983 - 01/23/1988
DEAN WITTER REYNOLDS INC.
BOTH
Issued 12/22/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/19/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/1988
Series 3 - National Commodity Futures Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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