Shelley S. Freeman
Professional summary
Shelley Steuer Freeman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shelley is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Shelley had worked at 6 firms, which includes WELLS FARGO CLEARING SERVICES LLC, WELLS FARGO SECURITIES INC., WELLS FARGO INVESTMENTS LLC, WELLS FARGO BROKERAGE SERVICES L.L.C., LEHMAN BROTHERS INC., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2010 - March 23, 2017
WELLS FARGO CLEARING SERVICES, LLC
April 21, 2010 - March 23, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 8, 2001 - October 8, 2001
WELLS FARGO SECURITIES INC.
December 13, 2000 - April 26, 2010
WELLS FARGO INVESTMENTS, LLC
June 14, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 6, 1998 - April 26, 2010
WELLS FARGO INVESTMENTS, LLC
November 27, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
September 27, 1993 - June 26, 1996
LEHMAN BROTHERS INC.
July 31, 1993 - August 30, 1993
CITIGROUP GLOBAL MARKETS INC.
March 4, 1993 - July 31, 1993
LEHMAN BROTHERS 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.
