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CFP
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CFP

David Difilippo

Wells Fargo Advisors
45 Years of Experience
Raleigh, NC
3 DisclosuresBroker
View SEC Summary
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David Difilippo is a CFP-designated registered investment advisor at Wells Fargo Advisors, based in Raleigh, NC, with 45 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC, 27612

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2005
Closed-No Action
Customer Dispute
December 2002
Closed-No Action
Customer Dispute
October 2001
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Clearing Services, LLC
May 2019 - Present · 7 yrs 5 mos
Wells Fargo Advisors
May 2019 - Present · 7 yrs 5 mos
Wells Fargo Clearing Services, LLCBroker
May 2019 - Present · 7 yrs 5 mos
Previous Registrations
Raymond James & Associates, INC.Broker
February 2013 - May 2019 · 6 yrs 3 mos
Raymond James & Associates, INC.
February 2013 - May 2019 · 6 yrs 3 mos
Morgan Keegan & Company, INC.
December 2001 - February 2013 · 11 yrs 2 mos
Morgan Keegan & Company, INC.Broker
September 1995 - February 2013 · 17 yrs 5 mos
Dmg Securities, INC.Broker
July 1994 - August 1995 · 1 yr 1 mo
F.N. Wolf & CO., INC.Broker
May 1988 - July 1994 · 6 yrs 2 mos
Sherwood Capital, INC.Broker
February 1987 - May 1988 · 1 yr 3 mos
First Jersey Securities, INC.Broker
July 1981 - February 1987 · 5 yrs 7 mos
State Registrations9 states
FLGAILMDNCNJPASCVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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