James V. Gatto
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.
James Vincent Gatto JR, CFP®, who also goes by James V Gatto, James VIncent Gatto, Jr James Vincent Gatto, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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
January 3, 2011 - August 9, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - August 9, 2017
WELLS FARGO CLEARING SERVICES, LLC
April 21, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 21, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
February 22, 2007 - April 9, 2008
CHASE INVESTMENT SERVICES CORP.
February 22, 2007 - April 9, 2008
CHASE INVESTMENT SERVICES CORP.
June 13, 2006 - February 23, 2007
NEW ENGLAND SECURITIES
May 23, 2006 - February 23, 2007
NEW ENGLAND SECURITIES
January 27, 2005 - May 18, 2006
CAPITAL ONE INVESTMENTS, LLC
January 23, 2004 - January 14, 2005
ESSEX NATIONAL SECURITIES, LLC
June 27, 2001 - January 14, 2005
ESSEX NATIONAL SECURITIES, LLC
August 28, 1999 - December 23, 1999
TRADESTAR INVESTMENTS,INC.
January 2, 1997 - October 12, 2000
FISERV INVESTOR SERVICES, INC.
January 26, 1995 - January 2, 1997
TRADESTAR INVESTMENTS,INC.
May 10, 1994 - December 31, 1994
AMERICAN GENERAL SECURITIES INCORPORATED
January 18, 1993 - April 15, 1994
HYM FINANCIAL, INC.
October 19, 1988 - April 4, 1989
FIRST NORTHERN SECURITIES, INC.
June 6, 1986 - September 23, 1986
MCG PORTFOLIO MANAGEMENT CORP.
December 21, 1983 - July 5, 1984
FIRST UNITED FUND,LTD.
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.
