Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Straeten is a financial professional with over 17 years of experience in the financial services industry. David is currently registered with Wells Fargo Securities, LLC in Charlotte, NC. David is a Series 7, 9, 10, 14, 24, 31, 63, 66, 79, 99TO and SIE licensed professional. Prior to joining Wells Fargo Securities, LLC, David worked for firms such as H.D. Vest Investment Services, First Clearing, LLC and Wells Fargo Advisors Financial Network, LLC.
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
NC
12/13/2010 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
TX
07/16/2010 - 11/01/2010
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
MO
11/12/2009 - 11/01/2010
FIRST CLEARING, LLC (ST. LOUIS MO)
MO
11/12/2009 - 11/01/2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
NC
09/28/2005 - 11/01/2010
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
BOTH
Issued 06/11/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/07/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 03/19/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/21/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/26/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2012
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 07/03/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 09/27/2005
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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