Laura L. Stansberry
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Laura Lee Stansberry, who also goes by Laura Janni, Laura Lee Sodja, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1982. Laura had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 53, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - July 11, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - July 11, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 14, 2003 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 25, 2001 - April 25, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 20, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 17, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
April 29, 1999 - August 18, 1999
INVESTMENT PROFESSIONALS, INC.
April 6, 1999 - April 28, 1999
INVESTMENT PROFESSIONALS, INC.
January 1, 1999 - April 15, 1999
WELLS FARGO SECURITIES INC.
January 31, 1997 - April 13, 1999
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 26, 1996 - July 25, 1996
ABN AMRO SECURITIES LLC
December 16, 1991 - September 7, 1995
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
May 31, 1989 - August 22, 1990
FIRST AFFILIATED SECURITIES
May 23, 1989 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
December 26, 1986 - March 17, 1988
D.A. DAVIDSON & CO.
April 8, 1982 - November 18, 1986
WADDELL & REED
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/2/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
