Career
David Williams has been Chief Compliance Officer of Wells Fargo Investment Institute since November 2025. David Williams is a control person of the firm and directly owns under 5% of it.
Wells Fargo Investment Institute, Inc. is a Charlotte, NC firm with $43B under management, 12,216 clients and 143 advisers across 3 offices, as of its March 2026 filing.
No adviser firm registrations are on David Williams’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 23 | General Securities Principal Sales Supervisor | 25 January 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 1 July 2011 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 11 April 2011 |
| Series 7 | General Securities Representative Examination | 22 October 1999 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 19 November 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 October 1993 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 October 1991 |
- Name
- General Securities Principal Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- General Securities Principal Sales Supervisor
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- David M Williams
- CRD
- 2027711
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does David Williams work?
David Williams has been Chief Compliance Officer of Wells Fargo Investment Institute, Inc. since November 2025, and is a control person of the firm.
Does David Williams have a current investment-adviser registration?
David Williams has a current broker registration and no current investment-adviser registration.
What exams has David Williams passed?
David Williams has passed 11 licensing exams: the Series 6, Series 63, Series 26, Series 7, Series 10, Series 9, Series 23, Series 24, Series 14, Series 99TO and Series 79TO. The earliest, the Series 6, was passed in October 1991. FINRA credited David Williams with the SIE, which began in October 2018.
Leadership at Wells Fargo Investment Institute
- Darrell CronkPresident and Chief Investment Officer, Director (Board Member)
- Haley RonzioChief Financial Officer, Treasurer
- Gregory SigmundChief Operating Officer, Director (Board Member)
- Britta MccorduckManaging Director and Secretary
- George RusnakDirector (Board Member)
- Barry SommersDirector (Board Member)