Margaret Mary Aiello
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.
Margaret Mary Aiello, who also goes by Margaret Mary Aiello, Margaret Mary Ridarick Aiello, Margaretmary Aiello, was a registered financial professional .
Margaret Mary is a previously registered financial professional and started their career in finance in 1982. Margaret Mary had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 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
February 8, 2006 - August 6, 2018
WELLS FARGO CLEARING SERVICES, LLC
May 6, 2005 - August 6, 2018
WELLS FARGO CLEARING SERVICES, LLC
February 18, 2003 - March 7, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
October 9, 2001 - May 3, 2002
APW CAPITAL, INC.
November 9, 1999 - June 1, 2001
ALL-TECH DIRECT, INC.
February 18, 1998 - January 7, 1999
A. G. EDWARDS & SONS, INC.
September 24, 1997 - November 5, 1997
PRUDENTIAL EQUITY GROUP, LLC
December 11, 1992 - September 2, 1997
UBS FINANCIAL SERVICES INC.
February 1, 1991 - November 24, 1992
PRUDENTIAL EQUITY GROUP, LLC
March 28, 1988 - December 20, 1990
TODD AND COMPANY, INC.
June 21, 1985 - March 22, 1988
SWARTWOOD, HESSE INC.
June 19, 1984 - July 3, 1985
ROONEY, PACE INC.
April 21, 1983 - July 5, 1984
JOSEPHTHAL & CO., INC.
March 1, 1982 - April 18, 1983
FITTIN, CUNNINGHAM & LAUZON, INC.
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
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.
