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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 Sherline is a financial advisor at Wells Fargo Clearing Services, LLC, in Clinton, NY. David has been in the financial industry since October 2, 1997 and has experience in advising clients on a range of investment needs. David holds a Series 7, Series 3, Series 31, Series 63, and Series 65 securities license as well as a Series 9 and Series 10 principal license. David also has experience with clients that include individuals, corporations, high-net-worth individuals, and charitable organizations.
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
NY
04/18/2019 - Present
Wells Fargo Clearing Services, LLC (CLINTON NY)
NY
03/28/2008 - 04/22/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (UTICA NY)
NY
09/01/2000 - 04/07/2008
CITIGROUP GLOBAL MARKETS INC. (UTICA NY)
NY
10/03/1997 - 09/07/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 09/09/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/02/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/07/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2003
Series 3 - National Commodity Futures Examination
BC
Issued 09/12/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 08/13/1997
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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