David Stuart Westphal

CRD 2417437 · Wells Fargo Advisors · Grand Rapids, MI

IA RegisteredBroker

Also appears in the source record as: David Westphal

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 6Series 66Series 63Series 65
Registered states (29): Arizona · California · Colorado · Florida · Georgia · Illinois · Indiana · Iowa · Kansas · Kentucky · Maine · Massachusetts · Michigan · Minnesota · Missouri · New Jersey · New York · North Carolina · Ohio · Oklahoma · Oregon · Rhode Island · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin
Years in the industry (source record): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (10)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Grand Rapids, MI · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Grand Rapids, MI · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Grand Rapids, MI · IA capacity

start not retrieved → present
A. G. Edwards & Sons, Inc.
Grand Rapids, MI · BC capacity

Jun 19, 2006 → Jan 3, 2008
Spc
Grand Rapids, MI · IA capacity

Jan 12, 2004 → Jun 15, 2006
Sigma Financial Corporation
Grand Rapids, MI · BC capacity

Jul 1, 2003 → Jun 15, 2006
Capital Management Services, Inc.
Manchester, MO · IA capacity

Jan 1, 2001 → Jan 8, 2004
Criterium Capital Investments, Ltd
Grand Rapids, MI · IA capacity

Sep 12, 2000 → Dec 31, 2003
Cutter & Company, Inc.
Ballwin, MO · BC capacity

Aug 23, 2002 → Jun 30, 2003
Cutter & Company, Inc.
Manchester, MO · IA capacity

Aug 22, 2002 → Jun 30, 2003

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2417437 ↗ FINRA BrokerCheck record for CRD 2417437 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.