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Information

Firm:
Type: RIA, FINRA Status Unknown
Description

Donald Wales is a financial professional at Wells Fargo Advisors Financial Network, LLC, a broker-dealer with over 1,800 registered representatives nationwide. Donald has held an industry securities registration for less than a year and is subject to SEC oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Donald Allen Wales has not answered any questions on Financial Q&A.

Top Guides

Donald Allen Wales has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Business Development Companies
Other Investment Advisors
State or Municipal Government Entities
Corporations or Other Businesses
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Wells Fargo Advisors Financial Network, LLC 1 year, 10 months Jun 2012 - Present
Wells Fargo Advisors Financial Network, LLC (11025) 2 years, 9 months May 2009 - Feb 2012
Wachovia Securities Financial Network, LLC (11025) 10 months Jul 2008 - May 2009
Waddell & Reed, Inc 9 months Oct 2007 - Jul 2008
Northwestern Mutual Investment Services,LLC 1 year, 2 months Aug 2006 - Oct 2007
Northwestern Mutual Life Insurance Company 2 years, 3 months Mar 2006 - Jun 2008
Cornerstone Church 17 years, 3 months Jan 1997 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/03/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
07/03/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.

Advisor Exams

Exam Series Passed Date
General Securities Representative Examination Series 7 08/21/2008
Uniform Investment Adviser Law Examination Series 65 11/28/2007
Uniform Securities Agent State Law Examination Series 63 08/11/2007
Investment Company Products/Variable Contracts Representative Examination Series 6 07/21/2007

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions