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Donald Allen Wales

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Information

Firm: No Current Employment Listed
Description

This advisor is no longer actively registered. Their most recent registration with Wells Fargo Advisors Financial Network, LLC ended in November 10, 2014.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Wells Fargo Advisors Financial Network, LLC 2 years, 5 months Jun 2012 - Present
Wells Fargo Advisors Financial Network LLC 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 (2881) 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, 11 months Jan 1997 - Present
Exams
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 08/21/2008
Uniform Investment Adviser Law ExaminationSeries 65 11/28/2007
Uniform Securities Agent State Law ExaminationSeries 63 08/11/2007
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 07/21/2007

Answers and Guides

0 Answers and 0 Financial Guides

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

Top Guides

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*Answers and guides are provided without compensation.

Firm Client Types

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Licenses and Conduct

Regulator
License Status
Not registered
Not registered
Disclosures

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No Disclosures Found

As of Date
11/10/2014
11/11/2014
*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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