Ronald Perry
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.
Ronald Perry was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1985. Ronald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, 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
September 11, 2015 - August 4, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 11, 2015 - August 4, 2016
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - September 22, 2015
MORGAN STANLEY
June 1, 2009 - September 22, 2015
MORGAN STANLEY
March 13, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 12, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 8, 2006 - March 25, 2008
CITIGROUP GLOBAL MARKETS INC.
September 8, 2006 - March 25, 2008
CITIGROUP GLOBAL MARKETS INC.
May 18, 2004 - September 11, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 4, 2004 - September 11, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 7, 2003 - May 4, 2004
SMH CAPITAL ADVISORS LLC
February 1, 2001 - May 4, 2004
SANDERS MORRIS LLC
April 3, 1997 - May 10, 2004
EQUITY SERVICES, INC.
February 21, 1997 - February 1, 2001
COMMONWEALTH FINANCIAL NETWORK
August 17, 1989 - February 24, 1997
EQUITY SERVICES, INC.
January 23, 1985 - August 23, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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.
