Alana L. Parker
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.
Alana Laverne Parker, who also goes by Alana Parker Bagby, Alana L Parker, was a registered financial professional .
Alana is a previously registered financial professional and started their career in finance in 1986. Alana had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2013 - January 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
September 19, 2013 - January 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2009 - September 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 8, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 14, 2000 - August 12, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - November 20, 2002
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - November 20, 2002
WELLS FARGO INVESTMENTS, LLC
October 26, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 25, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
June 25, 1996 - October 12, 1999
BANC ONE SECURITIES CORPORATION
October 27, 1995 - June 28, 1996
PRUDENTIAL EQUITY GROUP, LLC
February 2, 1995 - September 28, 1995
CITIGROUP GLOBAL MARKETS INC.
June 10, 1993 - December 14, 1994
D.E. FREY & COMPANY, INC.
January 21, 1991 - June 11, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1991 - January 23, 1991
UBS FINANCIAL SERVICES INC.
June 15, 1987 - January 1, 1991
ROTAN MOSLE INC.
April 25, 1986 - June 24, 1987
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
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.
