Terry D. Colosi
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.
Terry Diane Colosi, who also goes by Terry D Colosi, Terry D Laut, Terry Diane Laut, Terry Diane Roe, was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1985. Terry had worked at 15 firms and has passed the Series 65, Series 63, Series 22TO, Series 7TO, SIE, Series 7, Series 22, Series 6, Series 24, Series 26, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2012 - April 14, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 2, 2012 - November 16, 2016
FIRST CLEARING, LLC
November 2, 2012 - April 14, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 2, 2012 - April 14, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 24, 2011 - October 25, 2012
CUNA BROKERAGE SERVICES, INC.
June 24, 2011 - October 25, 2012
CUNA BROKERAGE SERVICES, INC.
March 17, 2010 - June 21, 2011
MIDWESTERN SECURITIES TRADING COMPANY, LLC
June 25, 2008 - February 25, 2009
CAPITAL BROKERAGE CORPORATION
March 8, 2006 - February 20, 2007
CETERA FINANCIAL SPECIALISTS LLC
August 7, 2002 - April 21, 2004
FFP ADVISORY SERVICES INC
August 7, 2002 - April 21, 2004
FFP SECURITIES, INC.
May 21, 2002 - June 24, 2002
SII INVESTMENTS, INC.
May 8, 2002 - June 24, 2002
SII INVESTMENTS, INC.
February 23, 1999 - March 11, 2002
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 23, 1994 - April 3, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 21, 1993 - December 13, 1993
NYLIFE SECURITIES LLC
August 14, 1990 - June 7, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 4, 1987 - December 31, 1988
AMERICAN CAPITAL EQUITIES, INC.
September 19, 1985 - June 3, 1987
CNL, 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
Series 22TO
Date: 3/27/2024
Direct Participation Programs Representative ExaminationSeries 7TO
Date: 3/27/2024
General Securities Representative ExaminationCurrent 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.
