Walter Rosenbaum
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.
Walter Rosenbaum was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1985. Walter had worked at 15 firms and has passed the Series 65, Series 63, 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
December 28, 2015 - August 13, 2025
WELLS FARGO CLEARING SERVICES, LLC
December 22, 2015 - August 13, 2025
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2013 - February 6, 2014
PNC WEALTH MANAGEMENT LLC
May 2, 2013 - February 6, 2014
PNC WEALTH MANAGEMENT LLC
October 23, 2012 - April 24, 2013
PFS INVESTMENTS INC.
October 3, 2012 - April 24, 2013
PFS INVESTMENTS INC.
January 14, 2011 - August 1, 2011
SCOTTRADE, INC.
July 9, 2008 - January 6, 2011
CHASE INVESTMENT SERVICES CORP.
June 5, 2008 - January 6, 2011
CHASE INVESTMENT SERVICES CORP.
January 29, 1991 - November 26, 2007
THE INVESTMENT CENTER, INC.
June 5, 1990 - November 21, 1990
RODMAN & RENSHAW INC.
May 24, 1990 - August 17, 1990
VANDERBILT SECURITIES, INC.
May 17, 1989 - May 23, 1990
B C FINANCIAL CORPORATION
February 21, 1989 - May 18, 1989
ADAMS SECURITIES, INC.
October 31, 1988 - February 23, 1989
ALLIED CAPITAL GROUP, INC.
July 28, 1988 - November 3, 1988
GRAYSTONE NASH, INC.
May 21, 1986 - August 2, 1988
ROYCE PARK INVESTMENTS, INC.
May 17, 1986 - May 27, 1986
MARSHALL DAVIS, INC.
August 21, 1985 - May 17, 1986
J. W. GANT & ASSOCIATES, 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
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.
