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Donald Allen Wales

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Information

Firm:
Type: Dual Registration
Description

Donald Wales is a financial professional at Wells Fargo Advisors Financial Network, LLC, a broker-dealer with over 1,850 registered representatives nationwide. Donald has held an industry securities registration for 6 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Wells Fargo Advisors Financial Network, LLC 2 years, 4 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, 9 months Jan 1997 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 11/28/2007
Uniform Securities Agent State Law ExaminationSeries 63 08/11/2007

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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/10/2014
04/24/2014
*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.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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