Alan D. Katz
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.
Alan David Katz was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 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
June 11, 2008 - April 12, 2021
WELLS FARGO CLEARING SERVICES, LLC
February 9, 2007 - April 12, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 20, 2004 - October 30, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 30, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 24, 2003 - October 20, 2004
QUICK & REILLY, INC.
November 20, 2003 - October 20, 2004
QUICK & REILLY, INC.
September 30, 2002 - March 20, 2003
NCF FINANCIAL SERVICES, INC.
September 30, 2002 - March 20, 2003
NCF FINANCIAL SERVICES, INC.
February 7, 2002 - September 30, 2002
INVEST FINANCIAL CORPORATION
November 16, 2001 - September 30, 2002
INVEST FINANCIAL CORPORATION
October 1, 1999 - November 15, 2001
WELLS FARGO CLEARING SERVICES, LLC
August 14, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 26, 1996 - August 26, 1998
MORGAN STANLEY DW INC.
January 19, 1990 - June 29, 1990
BOUCHER, OEHMKE & COMPANY
May 15, 1989 - January 18, 1990
A. G. EDWARDS & SONS, INC.
August 21, 1984 - May 6, 1989
PRUDENTIAL EQUITY GROUP, 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
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.
