Jo L. Beverly
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.
Jo Lynne Beverly, who also goes by Jo Beverly, Jo Lynne Ellis, was a registered financial professional .
Jo is a previously registered financial professional and started their career in finance in 1985. Jo had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, 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
October 3, 2019 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2019 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2008 - May 15, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2008 - February 16, 2016
J.P. MORGAN SECURITIES LLC
September 27, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
January 15, 2003 - September 27, 2006
BANC ONE SECURITIES CORPORATION
January 15, 2003 - July 1, 2006
BANC ONE SECURITIES CORPORATION
February 7, 2002 - April 14, 2004
BANC ONE INVESTMENT ADVISORS CORP
February 7, 2002 - October 1, 2002
JPMORGAN DISTRIBUTION SERVICES, INC.
October 26, 1990 - January 18, 2002
BANC ONE SECURITIES CORPORATION
September 7, 1990 - October 26, 1990
MBANK CAPITAL MARKETS, INC.
December 12, 1986 - May 26, 1987
PAMCO SECURITIES AND INSURANCE SERVICES
August 20, 1985 - December 12, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 8/15/2019
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.
