Kirk A. Mcleland
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.
Kirk Alan Mcleland was a registered financial professional .
Kirk is a previously registered financial professional and started their career in finance in 1982. Kirk had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 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 - January 16, 2025
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 16, 2025
WELLS FARGO CLEARING SERVICES, LLC
January 4, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 4, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 20, 2007 - October 4, 2007
CETERA INVESTMENT SERVICES LLC
July 20, 2007 - October 4, 2007
CETERA INVESTMENT SERVICES LLC
June 11, 2007 - November 28, 2007
ATCAPITAL MANAGEMENT
May 29, 2007 - June 14, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - June 14, 2007
CITIGROUP GLOBAL MARKETS INC.
May 9, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 29, 1999 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 14, 1993 - July 19, 1999
MORGAN STANLEY DW INC.
March 19, 1990 - July 20, 1993
PRUDENTIAL EQUITY GROUP, LLC
May 16, 1986 - April 24, 1990
MORGAN STANLEY DW INC.
April 29, 1982 - June 4, 1986
FIRST JERSEY SECURITIES, 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 | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 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.
