Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Sanford Thompson is an investment advisor representative with Wells Fargo Clearing Services, LLC. David has been in the industry since 1989 and has worked for several firms, including Wachovia Securities, Inc. and PaineWebber Incorporated. David has a strong track record of success in the financial services industry and is committed to providing clients with personalized financial advice and investment management services. David is a Certified Financial Planner. David is registered to provide investment advisory services in Arizona, California, Colorado, Florida, Georgia, Hawaii, Illinois, Kentucky, Maryland, Missouri, Montana, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, Utah, and Virginia.
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
NC
06/20/2002 - Present
Wells Fargo Clearing Services, LLC (HIGH POINT NC)
NC
02/09/2001 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NJ
08/14/2000 - 02/27/2001
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/17/1991 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
09/13/1989 - 09/19/1991
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/20/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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