Hillary J. Page
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.
Hillary Joan Page, who also goes by Hillary Joan Lang, Hillary Newkerk Lang, Hillary Joan Newkerk, was a registered financial professional .
Hillary is a previously registered financial professional and started their career in finance in 1984. Hillary had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2001 - November 11, 2015
WELLS FARGO CLEARING SERVICES, LLC
December 19, 2001 - November 11, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 5, 2001 - July 24, 2001
QUICK & REILLY, INC.
January 27, 1999 - January 8, 2001
TRUIST INVESTMENT SERVICES, INC.
April 1, 1998 - January 14, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 29, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
June 20, 1996 - January 7, 1997
CHARLES SCHWAB & CO., INC.
July 18, 1995 - December 21, 1995
STEIN, SHORE SECURITIES, INC.
May 9, 1995 - June 6, 1995
THE PARKINS INVESTMENT SECURITIES CORPORATION
September 27, 1993 - March 17, 1995
STEIN, SHORE SECURITIES, INC.
August 7, 1989 - October 5, 1993
INTERNATIONAL ASSETS ADVISORY, LLC
August 27, 1988 - May 6, 1989
MORGAN STANLEY DW INC.
January 3, 1984 - October 20, 1987
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.
