Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Tranum is a financial advisor at Wells Fargo Clearing Services, LLC. David has been in the financial services industry since 1999. David is registered with FINRA as a Registered Representative and an Investment Advisor Representative. David holds the Series 3, 7, 9, 10, 63, and 66 licenses. David is also a Certified Financial Planner. In addition to David's work with Wells Fargo Clearing Services, LLC, David is also a flight instructor.
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
CO
09/10/2019 - Present
Wells Fargo Clearing Services, LLC (DURANGO CO)
CO
06/01/2009 - 08/17/2016
MORGAN STANLEY (DURANGO CO)
CO
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (DURANGO CO)
CO
12/08/2006 - 04/02/2007
MORGAN STANLEY DW INC. (DURANGO CO)
CO
12/13/2000 - 12/13/2006
WELLS FARGO INVESTMENTS, LLC (DURANGO CO)
MN
07/09/2001 - 12/31/2003
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
MN
01/22/1999 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
BOTH
Issued 05/16/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/10/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/19/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/05/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/2007
Series 3 - National Commodity Futures Examination
BC
Issued 12/11/1998
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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