Ronald M. Reilly
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.
Ronald Michael Reilly, who also goes by Ron Reilly, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1984. Ronald had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 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 - May 7, 2026
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - May 7, 2026
WELLS FARGO CLEARING SERVICES, LLC
September 14, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 8, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 1, 2009 - September 30, 2010
MORGAN STANLEY
June 1, 2009 - September 30, 2010
MORGAN STANLEY
February 5, 2009 - February 24, 2009
UBS FINANCIAL SERVICES INC.
February 5, 2009 - February 24, 2009
UBS FINANCIAL SERVICES INC.
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 27, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
November 24, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
January 1, 2001 - December 8, 2006
KEYBANC CAPITAL MARKETS INC.
July 28, 2000 - December 8, 2006
KEYBANC CAPITAL MARKETS INC.
July 1, 1999 - August 7, 2000
WELLS FARGO SECURITIES, LLC
September 5, 1991 - July 1, 1999
FIRST SECURITY INVESTOR SERVICES, INC.
June 12, 1989 - July 5, 1989
ZIONS DIRECT, INC.
September 21, 1987 - September 6, 1991
MORGAN STANLEY DW INC.
May 16, 1986 - September 11, 1987
MORGAN STANLEY DW INC.
June 20, 1984 - May 21, 1986
FIRST JERSEY SECURITIES, 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 | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 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.
