George A. Wall
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.
George Andrew Wall was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 14 firms and has passed the Series 63 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
April 12, 2011 - February 21, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 12, 2011 - February 21, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 25, 2010 - April 6, 2011
OSAIC WEALTH, INC.
August 17, 2010 - April 6, 2011
OSAIC WEALTH, INC.
June 15, 2007 - December 24, 2008
HORNOR, TOWNSEND & KENT, LLC
June 15, 2007 - December 24, 2008
HORNOR, TOWNSEND & KENT, LLC
April 7, 2005 - May 31, 2007
METLIFE INVESTORS DISTRIBUTION COMPANY
April 3, 2003 - April 8, 2005
ZIONS DIRECT, INC.
June 6, 2001 - November 7, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
June 4, 2001 - September 23, 2002
WELLS FARGO INVESTMENTS, LLC
July 1, 1999 - October 12, 2001
WELLS FARGO SECURITIES, LLC
June 3, 1997 - July 1, 1999
FIRST SECURITY INVESTOR SERVICES, INC.
March 30, 1990 - December 31, 1995
CADARET, GRANT & CO., INC.
July 13, 1987 - April 4, 1990
MARKETING ONE SECURITIES, INC.
June 12, 1986 - July 16, 1987
EQUITY SERVICES, INC.
January 22, 1985 - June 17, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
July 25, 1983 - November 19, 1984
HAWKLIN SECURITIES CORPORATION
January 18, 1983 - April 15, 1983
HAWKLIN SECURITIES CORPORATION
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.
