John A. Artmann
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.
John Abraham Artmann, who also goes by Abe Abraham Artmann, Abe J Artmann, Abe Artmann, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 17 firms and has passed the Series 63, SIE, Series 7, Series 51, Series 4 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
March 23, 2022 - September 16, 2025
WELLS FARGO CLEARING SERVICES, LLC
November 23, 2017 - April 23, 2021
WELLS FARGO CLEARING SERVICES, LLC
June 18, 2015 - December 9, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
May 14, 2015 - December 9, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
February 11, 2015 - April 23, 2015
STATE FARM VP MANAGEMENT CORP.
November 28, 2012 - April 15, 2013
NEW ENGLAND SECURITIES
January 3, 2011 - August 8, 2011
MSI FINANCIAL SERVICES, INC.
December 16, 2010 - August 8, 2011
MSI FINANCIAL SERVICES, INC.
July 2, 2008 - May 1, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
June 29, 2007 - September 13, 2007
CETERA WEALTH SERVICES, LLC
March 17, 2005 - April 5, 2006
A. G. EDWARDS & SONS, INC.
January 5, 2005 - January 21, 2005
MML INVESTORS SERVICES, LLC
August 2, 2001 - February 10, 2004
BANCWEST INVESTMENT SERVICES, INC.
November 1, 2000 - May 10, 2001
MORGAN STANLEY DW INC.
April 10, 2000 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
April 13, 1999 - March 13, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
October 21, 1998 - January 14, 1999
CITIGROUP GLOBAL MARKETS INC.
May 24, 1996 - October 7, 1998
MORGAN STANLEY DEAN WITTER ONLINE INC.
September 1, 1995 - June 17, 1996
ACUMENT SECURITIES, INC.
January 31, 1995 - July 24, 1995
NF CLEARING, INC.
January 14, 1993 - August 2, 1993
QUICK & REILLY, INC.
April 21, 1987 - June 23, 1992
CHARLES SCHWAB & CO., INC.
November 7, 1985 - November 19, 1985
H.J. MEYERS & CO., INC.
August 21, 1984 - June 23, 1992
CHARLES SCHWAB & 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.
