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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

DAVID ROBERTS

Advisor at WELLS FARGO ADVISORS

MELVILLE, NY

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Search this name across graphsid dfx:ria:39abbaf8-74c1-9ddc-bd62-3b4f98916869

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 3, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 6, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 6, 1992
First registration: Aug 3, 2000
Dual registered: yes, broker-dealer
Other names: DAVID COREY ROBERTS|DAVID C ROBERTS
IAPD individual key: 2238402

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Jul 15, 2024	n/a	yes	MELVILLE, NY	Current employment
WELLS FARGO ADVISORS	Wirehouse	Dec 2, 2011	Jul 15, 2024	no	WOODBURY, NY\|MELVILLE, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 12, 2011	no	Jericho, NY	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	JERICHO, NY	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 9, 2005	Apr 2, 2007	no	JERICHO, NY\|JERICHO, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 3, 2000	Sep 14, 2005	no	GREAT NECK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Jul 15, 2024	Jul 15, 2024	0	Channel change	Wirehouse to wirehouse
MORGAN STANLEY	WELLS FARGO ADVISORS	Dec 12, 2011	Dec 2, 2011	-10	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY DW INC.	Sep 14, 2005	Sep 9, 2005	-5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:11025:NY:2024-07-12	Jul 15, 2024	Jul 15, 2024	MELVILLE, NY	Firm change

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jul 15, 2024 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 2, 2011 to Jul 15, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 12, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 9, 2005 to Apr 2, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 3, 2000 to Sep 14, 2005factForm ADV

Dated events

No dated event names this entity yet.