John R. Terrell
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.
John Robert Terrell was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 14 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
February 2, 2007 - April 15, 2025
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - April 15, 2025
WELLS FARGO CLEARING SERVICES, LLC
November 3, 2003 - February 1, 2007
ATLAS SECURITIES, LLC
March 31, 2003 - July 7, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
October 24, 2002 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
March 1, 2002 - October 31, 2002
HIGH MARK SECURITIES, INC.
July 9, 2001 - December 18, 2001
AMSOUTH INVESTMENT SERVICES, INC.
May 5, 1998 - July 18, 2001
ATLAS SECURITIES, LLC
April 21, 1997 - January 14, 1998
FIRST UNION BROKERAGE SERVICES, INC.
June 18, 1996 - November 14, 1996
TRUIST INVESTMENT SERVICES, INC.
April 5, 1994 - June 26, 1996
INVESTACORP, INC.
January 21, 1994 - April 14, 1994
LPL FINANCIAL LLC
November 13, 1992 - January 28, 1994
RAYMOND JAMES & ASSOCIATES, INC.
March 3, 1989 - November 16, 1992
BARNETT INVESTMENTS, INC.
December 23, 1987 - April 15, 1989
BARNETT BOND SERVICE, INC.
September 24, 1984 - October 15, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
