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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 Stern is a financial advisor at Wells Fargo Clearing Services, LLC. David has over 6 years of experience in the financial services industry and is registered with the state of California as a broker-dealer and investment advisor. David has a Series 6, Series 7, and Series 63 license and has also passed the Series 65 exam and the SIE. David also has experience with various investment products and services, including financial planning, investment consulting, and portfolio management. David is committed to providing his clients with personalized financial advice to help them achieve their financial goals. Prior to working at Wells Fargo Clearing Services, LLC, David worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Pruco Securities, 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.
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.
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2
CA
10/11/2023 - Present
Wells Fargo Clearing Services, LLC (LOS ANGELES CA)
CA
10/09/2018 - 10/12/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BEVERLY HILLS CA)
CA
10/04/2017 - 10/19/2018
PRUCO SECURITIES, LLC. (SHERMAN OAKS CA)
CA
06/19/2017 - 10/04/2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LOS ANGELES CA)
IA
Issued 02/07/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/13/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/11/2018
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2017
Series 6 - Investment Company Products/Variable Contracts 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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