Mary Viviano
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.
Mary Viviano, who also goes by Dee Schuck, Marie Schuck, Mary Schuck, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1985. Mary had worked at 10 firms and has passed the 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
November 4, 2021 - November 4, 2022
WELLS FARGO CLEARING SERVICES, LLC
November 4, 2021 - November 4, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 11, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 11, 2021
WELLS FARGO CLEARING SERVICES, LLC
September 7, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 28, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
May 13, 2005 - June 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 2000 - May 25, 2005
A. G. EDWARDS & SONS, INC.
November 30, 1999 - December 16, 1999
PFIC SECURITIES CORPORATION
March 14, 1996 - September 2, 1999
INBANK INVESTMENTS, INC.
February 20, 1992 - November 30, 1999
MAGNA INVESTMENTS
August 31, 1989 - February 18, 1992
CAPITAL BROKERAGE CORPORATION
August 26, 1988 - September 6, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
May 13, 1987 - August 30, 1988
MML INVESTORS SERVICES, LLC
November 20, 1985 - March 19, 1987
INVEST FINANCIAL 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.
