Gregory T. Souran
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.
Gregory Thomas Souran was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1983. Gregory had worked at 22 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55, Series 15, Series 3, Series 53, Series 10, Series 9, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2016 - December 8, 2020
WELLS FARGO CLEARING SERVICES, LLC
February 29, 2016 - December 8, 2020
WELLS FARGO CLEARING SERVICES, LLC
September 3, 2015 - January 5, 2016
THINKEQUITY LLC
October 21, 2008 - February 3, 2012
HARRISDIRECT LLC
February 5, 2008 - February 3, 2012
E*TRADE SECURITIES LLC
September 13, 2006 - October 30, 2007
TAFFERER TRADING, LLC
January 5, 2006 - September 11, 2006
SCOTT & STRINGFELLOW, LLC
January 7, 2003 - January 13, 2006
BERGEN CAPITAL, INC.
July 10, 2002 - January 2, 2003
CANTONE RESEARCH INC.
March 4, 2002 - April 9, 2002
S. B. CANTOR & CO., INC.
August 24, 2001 - February 27, 2002
S. B. CANTOR & CO., INC.
November 5, 1999 - August 15, 2001
CANTONE RESEARCH INC.
April 19, 1999 - June 29, 1999
FIRST PROVIDENCE FINANCIAL GROUP, LLC
July 13, 1998 - November 23, 1998
MONTROSE CAPITAL MANAGEMENT LTD.
May 6, 1996 - June 2, 1998
FIRST METROPOLITAN SECURITIES, INC.
March 30, 1995 - April 24, 1996
FAIRCHILD FINANCIAL GROUP, INC.
September 17, 1994 - March 17, 1995
LCP CAPITAL CORP.
October 12, 1992 - September 2, 1994
BERKELEY SECURITIES CORPORATION
August 19, 1991 - October 5, 1992
HENNION & WALSH, INC.
November 20, 1989 - July 23, 1991
MANCHESTER RHONE SECURITIES CORP.
October 3, 1989 - October 23, 1989
RODMAN & RENSHAW, LLC
May 4, 1987 - September 11, 1989
UBS FINANCIAL SERVICES INC.
August 18, 1983 - May 8, 1987
PHILIPS, APPEL & WALDEN, INC.
July 11, 1983 - August 8, 1983
S. D. COHN & CO.
May 25, 1983 - July 1, 1984
UNIFIED 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
Series 55
Date: 5/17/1999
Limited Representative-Equity Trader ExamSeries 15
Date: 8/29/1986
Foreign Currency Options 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.
