David Wells has been Managing Member/Chief Compliance Officer of Wells Financial Management since June 2011, is a control person of the firm and directly owns 75% or more of it. David Wells holds a Bachelor of Science in Business from the University of North Carolina at Asheville and a Master of Business Administration from Appalachian State University.
Wells Financial Management, LLC is an Asheville, NC firm with $133M under management, 98 clients and 1 adviser in one office, as of its March 2026 filing.
David Wells is President of Wells Financial Management, based in Asheville, North Carolina. Wells has over 25 years of experience monitoring financial plans and managing assets for a variety of clients.
David Wells’ longest registration was 18 years at Ameriprise Financial Services, Inc. (1993–2011). Before joining Wells Financial Management in 2011, David Wells was registered through Ameriprise Financial Services, Inc.
- – present · 15 yearsAsheville, NC · Adviser representative · Firm CRD 158030
- Ameriprise Financial Services, Inc.– · 18 yearsAsheville, NC · Adviser representative · Firm CRD 6363
Professional designations
Listed by Wells Financial Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
David Wells is registered as an investment adviser representative in 2 states. The first approvals date from July 2011; the most recent is Texas, in May 2024.
- North CarolinaSince 14 July 2011
- TexasSince 9 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 51 | Municipal Fund Securities Principal Examination | 29 April 2003 |
| Series 24 | General Securities Principal Examination | 11 May 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 2 February 1990 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 May 1989 |
| Series 7 | General Securities Representative Examination | 20 May 1989 |
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Nelson Wells
- CRD
- 1943352
- Firm
- Wells Financial Management · CRD 158030
- Role
- Managing Member/Chief Compliance Officer
- Office
- 56 CENTRAL AVENUE, SUITE 105, Asheville, NC 28801
- Registration
- Investment adviser registration
- In the industry since
- June 1993
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- wellsfm.com
Where does David Wells work?
David Wells has been Managing Member/Chief Compliance Officer of Wells Financial Management, LLC since June 2011, and is a control person of the firm.
Is David Wells a financial advisor?
Yes. David Wells has a current investment-adviser registration in North Carolina and Texas, through Wells Financial Management since July 2011.
How many years of experience does David Wells have?
David Wells has 33 years in the financial industry, since June 1993, across 2 adviser firms.
What exams has David Wells passed?
David Wells has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 24 and Series 51. The earliest, the Series 7, was passed in May 1989.
Where is David Wells based?
David Wells’ registered office is in Asheville, NC.
Is David Wells registered with FINRA?
No. David Wells has no current broker registration.
Is David Wells a CFP?
Wells Financial Management lists David Wells with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify David Wells’ record?
Search CRD 1943352 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Wells’ full registration record.