Kelli K. Leitschuh
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.
Kelli Kay Leitschuh, who also goes by Kelli Freitag, Kelli K Leitschuh, Kelli L Leitschuh, Kelli Leitschuh, Voskamp Leitschuh, Kelli Kay Voskamp, Kelli Voskamp, was a registered financial professional .
Kelli is a previously registered financial professional and started their career in finance in 1986. Kelli had worked at 21 firms and has passed the Series 66, Series 63, 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 28, 2022 - May 12, 2023
WELLS FARGO CLEARING SERVICES, LLC
January 27, 2022 - May 12, 2023
WELLS FARGO CLEARING SERVICES, LLC
April 19, 2017 - November 5, 2021
TRUIST ADVISORY SERVICES, INC.
April 3, 2017 - November 5, 2021
TRUIST INVESTMENT SERVICES, INC.
August 22, 2016 - March 15, 2017
PNC WEALTH MANAGEMENT LLC
August 18, 2016 - March 15, 2017
PNC WEALTH MANAGEMENT LLC
November 2, 2011 - June 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 8, 2011 - June 21, 2016
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2010 - December 15, 2010
MORGAN STANLEY
January 15, 2010 - December 15, 2010
MORGAN STANLEY
September 11, 2008 - December 15, 2009
WELLS FARGO CLEARING SERVICES, LLC
November 1, 2007 - July 28, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
October 5, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 5, 2006 - October 30, 2007
MSI FINANCIAL SERVICES, INC.
September 7, 2004 - May 27, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 23, 2002 - November 6, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 14, 2000 - June 19, 2000
IDS LIFE INSURANCE COMPANY
April 14, 2000 - June 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
July 23, 1998 - March 31, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 15, 1995 - June 24, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
March 3, 1995 - April 19, 1995
KEY INVESTMENTS INC.
April 7, 1994 - March 3, 1995
SOCIETY INVESTMENTS, INC.
April 24, 1993 - April 26, 1994
LUMENT SECURITIES, LLC
February 2, 1990 - March 20, 1992
MORGAN STANLEY DW INC.
April 10, 1989 - September 5, 1989
DOMINION INVESTMENT BANKING, INC.
August 25, 1988 - April 24, 1989
G. R. PHELPS & CO., INC.
August 20, 1987 - August 27, 1988
PSI SECURITIES CORPORATION
August 26, 1986 - July 23, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
March 25, 1986 - June 20, 1986
PSI SECURITIES 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.
