Mark D. Leyendecker
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.
Mark Daniel Leyendecker was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 13 firms and has passed the Series 66, 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 16, 2021 - June 4, 2025
WELLS FARGO CLEARING SERVICES, LLC
January 10, 2012 - January 14, 2015
COMERICA SECURITIES
September 30, 2011 - January 14, 2015
COMERICA SECURITIES
October 26, 2007 - December 31, 2008
NANDINA ASSET MANAGEMENT, L.P.
September 27, 2006 - August 17, 2007
J.P. MORGAN SECURITIES INC.
July 1, 2006 - August 17, 2007
J.P. MORGAN SECURITIES INC.
January 11, 2006 - July 1, 2006
BANC ONE SECURITIES CORPORATION
January 6, 2006 - September 27, 2006
BANC ONE SECURITIES CORPORATION
February 25, 2004 - January 11, 2005
JPMORGAN FLEMING ASSET MANAGEMENT
May 26, 2000 - January 27, 2004
BANC ONE SECURITIES CORPORATION
May 26, 2000 - January 27, 2004
BANC ONE SECURITIES CORPORATION
August 28, 1997 - October 2, 1998
STONEGATE CAPITAL MARKETS, INC.
January 7, 1991 - May 31, 1991
BANC OF AMERICA SECURITIES LLC
April 2, 1990 - January 10, 1991
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 27, 1989 - April 2, 1990
NCNB TEXAS SECURITIES, INC.
December 24, 1985 - July 26, 1988
J.P. MORGAN SECURITIES LLC
August 27, 1985 - December 18, 1985
SOURCE SECURITIES, INC.
May 25, 1983 - September 20, 1983
NUVEEN SECURITIES, 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
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.
