DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

DAVID JAMES BROWN

Advisor at WELLS FARGO ADVISORS

KNOXVILLE, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7012a18d-bd6e-e44c-8f03-bb9b85462290

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 27, 2009 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: May 15, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 15, 2009
First registration: May 27, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 5650810

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 2, 2018	n/a	yes	KNOXVILLE, TN	Current employment
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Sep 13, 2016	Oct 2, 2018	no	KNOXVILLE, TN\|LAKE CITY, TN\|LENOIR CITY, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	May 29, 2012	Dec 31, 2016	no	KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|CLINTON, TN\|LAKE CITY, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|LAKE CITY, TN\|KNOXVILLE, TN\|LENOIR CITY, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|LAKE CITY, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN	Previous registration
EDWARD JONES	National bd RIA	May 27, 2009	Apr 3, 2012	no	ST LOUIS, MO\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN	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
TRUIST ADVISORY SERVICES, INC.	WELLS FARGO ADVISORS	Oct 2, 2018	Oct 2, 2018	0	Firm change	Ibd to wirehouse
SUNTRUST INVESTMENT SERVICES, INC.	TRUIST ADVISORY SERVICES, INC.	Dec 31, 2016	Sep 13, 2016	-109	Bulk transfer	Other
EDWARD JONES	SUNTRUST INVESTMENT SERVICES, INC.	Apr 3, 2012	May 29, 2012	56	Firm change	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Oct 2, 2018 to presentfactForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Sep 13, 2016 to Oct 2, 2018factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 29, 2012 to Dec 31, 2016factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
May 27, 2009 to Apr 3, 2012factForm ADV

Dated events

No dated event names this entity yet.