Christopher J. Maloney
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.
Christopher John Maloney was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1984. Christopher had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2010 - August 30, 2024
WELLS FARGO CLEARING SERVICES, LLC
August 18, 2010 - August 30, 2024
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2009 - July 23, 2010
HFP CAPITAL MARKETS LLC
February 9, 2008 - January 26, 2009
DAWSON JAMES SECURITIES, INC.
November 7, 2007 - February 11, 2008
CAPITAL GROWTH FINANCIAL, LLC
October 4, 2007 - November 6, 2007
NORTH COAST SECURITIES CORPORATION
September 1, 2006 - December 7, 2006
EMERALD INVESTMENTS, INC.
May 18, 2006 - July 12, 2006
SUCCESS TRADE SECURITIES, INC.
December 6, 2002 - November 5, 2004
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
December 6, 1999 - September 27, 2002
CIBC WORLD MARKETS CORP.
January 16, 1992 - November 23, 1999
PRUDENTIAL EQUITY GROUP, LLC
April 16, 1991 - January 24, 1992
J.P. MORGAN SECURITIES LLC
October 9, 1990 - April 19, 1991
UBS FINANCIAL SERVICES INC.
August 11, 1989 - October 17, 1990
FINANCIAL SQUARE PARTNERS
January 13, 1989 - August 24, 1989
CITIGROUP GLOBAL MARKETS INC.
December 7, 1987 - January 24, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
December 12, 1985 - January 26, 1988
J.P. MORGAN SECURITIES LLC
August 22, 1985 - December 19, 1985
KUHNS BROTHERS & LAIDLAW, INC.
July 26, 1984 - August 1, 1985
J.P. MORGAN SECURITIES LLC
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
Series 8
Date: 4/12/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
