Rick M. Reisman
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.
Rick Marion Reisman, who also goes by Rick Marion Eaker, Rick Reisman, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1984. Rick had worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 22 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 - August 10, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - August 10, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 19, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 19, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 20, 2008 - August 20, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2006 - May 7, 2008
UBS INTERNATIONAL INC.
January 1, 2005 - March 28, 2006
HSBC SECURITIES (USA) INC.
October 28, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
March 12, 2002 - October 21, 2003
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
July 25, 1999 - October 24, 2000
ZIONS DIRECT, INC.
November 4, 1997 - April 19, 1999
CITICORP INVESTMENT SERVICES
September 13, 1986 - February 18, 1987
KRIDEL SECURITIES CORPORATION
June 19, 1985 - July 9, 1986
WESTBROOK SECURITIES, INC.
September 20, 1984 - April 2, 1985
MILLBROOK INVESTOR 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 | 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.
