Patricia A. Lofaro
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.
Patricia Ann Lofaro, who also goes by Patricia Ann Gilbride, Patricia Gilbride, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1986. Patricia had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2019 - October 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 27, 2019 - October 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 7, 2017 - November 18, 2019
FIRST CITIZENS INVESTOR SERVICES, INC.
November 7, 2017 - November 18, 2019
FIRST CITIZENS INVESTOR SERVICES, INC.
March 11, 2003 - September 14, 2017
WELLS FARGO CLEARING SERVICES, LLC
March 11, 2003 - September 14, 2017
WELLS FARGO CLEARING SERVICES, LLC
July 3, 2002 - March 10, 2003
UBS FINANCIAL SERVICES INC.
July 2, 2002 - March 10, 2003
UBS FINANCIAL SERVICES INC.
March 7, 2001 - June 28, 2002
CITIGROUP GLOBAL MARKETS INC.
October 1, 1999 - January 18, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 21, 1996 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 16, 1993 - January 11, 1996
CITIGROUP GLOBAL MARKETS INC.
November 30, 1990 - February 11, 1993
LEHMAN BROTHERS INC.
May 20, 1986 - July 20, 1990
KIDDER, PEABODY & CO. 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: 10/3/2022
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.
