Charles Lucchesi
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.
Charles Lucchesi JR, who also goes by Charles Lucchesi, Chuck Lucchesi, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 55 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
November 6, 2015 - September 17, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 2, 2015 - September 17, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 23, 2015 - October 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 14, 2014 - July 22, 2015
KELSON CAPITAL LLC
August 17, 2009 - December 20, 2012
LOUIS CAPITAL MARKETS, LLC
November 21, 2008 - August 7, 2009
BGC FINANCIAL, L.P.
February 2, 2006 - November 24, 2008
GFI SECURITIES LLC
November 16, 2005 - February 16, 2006
INDEPENDENT BROKERS LLC
November 2, 2004 - December 6, 2005
MCCRACKEN ADVISORY PARTNERS CORPORATION
April 4, 2003 - November 3, 2004
PECONIC SECURITIES LLC
March 3, 2000 - February 3, 2003
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 13, 1998 - September 20, 2000
INTERCAPITAL INTERNATIONAL INC.
February 14, 1996 - July 13, 1998
EXCO RMJ INTERNATIONAL INC.
February 14, 1996 - April 28, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
December 12, 1995 - January 22, 1996
CANTOR FITZGERALD SECURITIES
December 12, 1995 - January 22, 1996
MINT BROKERS
October 8, 1990 - October 27, 1995
W.A. CAPITAL MARKETS
October 12, 1989 - May 21, 1990
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 23, 1986 - April 27, 1989
CREDIT SUISSE SECURITIES (USA) 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
Series 55
Date: 4/19/2000
Limited Representative-Equity Trader ExamCurrent 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.
