Mark W. Sidell
Professional summary
Mark Weber Sidell was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark Weber Sidell was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1984. Mark had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10, Series 9, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2007 - January 14, 2010
WELLS FARGO CLEARING SERVICES, LLC
August 31, 2007 - January 14, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 30, 2006 - September 12, 2007
TD WEALTH MANAGEMENT SERVICES INC.
May 26, 2006 - September 12, 2007
TD WEALTH MANAGEMENT SERVICES INC.
October 1, 2000 - May 30, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - May 30, 2006
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 22, 1995 - December 2, 1997
NPC SECURITIES, INC.
June 16, 1993 - February 9, 1995
LEGG MASON WOOD WALKER, INCORPORATED
January 16, 1990 - July 1, 1991
THE ADVISORS GROUP, INC.
March 31, 1989 - December 20, 1989
MUTUAL SERVICE CORPORATION
March 23, 1987 - August 14, 1987
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 2, 1987 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
October 1, 1986 - February 9, 1987
EXETER SECURITIES CORPORATION
February 24, 1984 - October 8, 1986
LOWRY FINANCIAL SERVICES CORPORATION
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.
