Jan M. Jansen
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.
Jan Michal Jansen, who also goes by Jan Michal Jakubczyk, was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 1982. Jan had worked at 8 firms and has passed the Series 66, Series 63, Series 15, Series 7, Series 53, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2008 - August 27, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 27, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 9, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 27, 2006 - December 31, 2006
A. G. EDWARDS & SONS, INC.
October 15, 1997 - January 3, 2008
A. G. EDWARDS & SONS, INC.
August 13, 1997 - August 20, 1997
NATIONSSECURITIES
May 8, 1997 - August 29, 1997
BOATMEN'S INVESTMENT SERVICES OF ARKANSAS, INC.
June 28, 1993 - December 31, 1996
MARKET STREET SECURITIES, INC.
January 6, 1987 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
October 8, 1984 - January 1, 1987
I.M. SIMON & CO., INC.
August 26, 1982 - October 12, 1984
PRUDENTIAL EQUITY GROUP, LLC
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 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 12
Date: 11/20/1982
NYSE Branch Manager ExaminationCurrent 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.
