Marilyn Holof
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.
Marilyn Holof, who also goes by Marilyn Langsam Holof, Marilyn Langsam, was a registered financial professional .
Marilyn is a previously registered financial professional and started their career in finance in 1986. Marilyn had worked at 8 firms and has passed the 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
April 28, 2015 - April 25, 2024
WELLS FARGO CLEARING SERVICES, LLC
April 27, 2015 - April 25, 2024
WELLS FARGO CLEARING SERVICES, LLC
August 11, 2011 - May 7, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
June 30, 2011 - May 7, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
June 1, 2009 - July 8, 2011
MORGAN STANLEY
June 1, 2009 - July 8, 2011
MORGAN STANLEY
May 6, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 21, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 25, 1996 - October 22, 2002
MORGAN STANLEY DW INC.
November 6, 1995 - October 22, 2002
MORGAN STANLEY DW INC.
July 24, 1989 - October 27, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 1986 - December 1, 1986
MONVEST SECURITIES, INC.
August 21, 1986 - July 29, 1989
THOMSON MCKINNON SECURITIES 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.
