Michael L. Fahey
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.
Michael Lawrence Fahey, who also goes by Michael Lawrence Famey, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2013 - December 7, 2020
WELLS FARGO CLEARING SERVICES, LLC
February 27, 2013 - December 7, 2020
WELLS FARGO CLEARING SERVICES, LLC
March 2, 2010 - December 21, 2011
MIZUHO SECURITIES USA LLC
July 10, 2009 - February 18, 2010
COHEN & COMPANY SECURITIES, LLC
June 3, 2008 - February 3, 2009
MATRIX U.S.A., LLC
July 7, 2006 - October 15, 2007
COWEN AND COMPANY
May 2, 2002 - April 6, 2006
BANC OF AMERICA SECURITIES LLC
September 3, 1999 - May 16, 2002
GOLDMAN SACHS & CO. LLC
January 12, 1998 - August 18, 1999
BANC OF AMERICA SECURITIES LLC
November 28, 1997 - January 25, 1998
CITIGROUP GLOBAL MARKETS INC.
April 21, 1997 - January 25, 1998
SALOMON BROTHERS INC.
May 4, 1995 - June 28, 1996
MORGAN STANLEY DW INC.
January 21, 1987 - September 30, 1994
CREDIT SUISSE SECURITIES (USA) LLC
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.
