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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

DAVID SETH HELMAN

Advisor at WELLS FARGO ADVISORS

BELLEVUE, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 15, 2002 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: Jul 12, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 12, 2002
First registration: Jul 15, 2002
Dual registered: yes, broker-dealer
Other names: DAVID SETH HELMAN|DAVID S HELMAN
IAPD individual key: 4505318

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	Oct 29, 2015	n/a	yes	BELLEVUE, WA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Oct 30, 2015	no	BELLEVUE, WA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Dec 1, 2006	Oct 23, 2009	no	BELLEVUE, WA	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Aug 26, 2005	Dec 1, 2006	no	BELLEVUE, WA\|BELLEVUE, WA	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 15, 2002	Aug 29, 2005	no	BELLEVUE, WA	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Oct 30, 2015	Oct 29, 2015	-1	Firm change	Wirehouse to wirehouse
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
OPPENHEIMER & CO. INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Dec 1, 2006	Dec 1, 2006	0	Firm change	Other
MORGAN STANLEY DW INC.	OPPENHEIMER & CO. INC.	Aug 29, 2005	Aug 26, 2005	-3	Firm change	Other

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Oct 29, 2015 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Oct 30, 2015factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Dec 1, 2006 to Oct 23, 2009factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Aug 26, 2005 to Dec 1, 2006factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 15, 2002 to Aug 29, 2005factForm ADV

Dated events

No dated event names this entity yet.