Roberto J. Escarpenter
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.
Roberto Jesus Escarpenter, who also goes by Robert Escarpenter, was a registered financial professional .
Roberto is a previously registered financial professional and started their career in finance in 1983. Roberto had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2012 - May 3, 2019
WELLS FARGO CLEARING SERVICES, LLC
October 18, 2012 - May 3, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 10, 2004 - October 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2004 - October 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 1999 - August 6, 2004
MORGAN STANLEY DW INC.
April 19, 1999 - August 6, 2004
MORGAN STANLEY DW INC.
September 1, 1997 - April 23, 1999
DB ALEX. BROWN LLC
January 28, 1997 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
January 28, 1995 - May 12, 1995
UBS FINANCIAL SERVICES INC.
September 24, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
October 16, 1992 - September 13, 1993
PORTFOLIO SECURITIES COMPANY, INC.
August 31, 1992 - October 23, 1992
BRENNER SECURITIES CORPORATION
October 29, 1990 - July 10, 1992
CIBC WORLD MARKETS CORP.
September 13, 1983 - November 23, 1983
MORGAN STANLEY DW INC.
July 21, 1983 - September 8, 1983
BLINDER, ROBINSON & CO., INC.
July 21, 1983 - October 30, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
