Bill D. Menard
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.
Bill Douglas Menard was a registered financial professional .
Bill is a previously registered financial professional and started their career in finance in 1983. Bill had worked at 13 firms and has passed the Series 65, 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
September 19, 2013 - August 17, 2021
WELLS FARGO CLEARING SERVICES, LLC
September 19, 2013 - August 17, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2009 - September 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 11, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 13, 2000 - November 20, 2002
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - November 20, 2002
WELLS FARGO INVESTMENTS, LLC
April 4, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 10, 1998 - May 2, 2001
WELLS FARGO SECURITIES INC.
December 13, 1995 - November 11, 1998
SPIRES FINANCIAL, L.P.
November 22, 1994 - December 8, 1995
WELLS FARGO CLEARING SERVICES, LLC
June 7, 1991 - November 30, 1994
COASTAL SECURITIES, INC.
September 4, 1990 - June 11, 1991
WELLS FARGO CLEARING SERVICES, LLC
January 22, 1990 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
April 18, 1988 - February 7, 1990
MORGAN STANLEY DW INC.
April 15, 1985 - May 4, 1988
WESTCAP SECURITIES, L.P.
December 3, 1984 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
June 6, 1983 - December 26, 1984
DONALD SHELDON & CO., 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.
