Jacqueline D. Tarangelo
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.
Jacqueline Diane Tarangelo, who also goes by Jackie Beiman, Jacqueline Diane Beiman, Jacqueline D Tarangelo, Jacqueline Diane Tarangelo, Jacqueline Tarangelo, was a registered financial professional .
Jacqueline is a previously registered financial professional and started their career in finance in 1997. Jacqueline had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, 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
September 28, 2021 - July 17, 2024
WELLS FARGO CLEARING SERVICES, LLC
September 28, 2021 - July 17, 2024
WELLS FARGO CLEARING SERVICES, LLC
June 6, 2019 - August 9, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 2019 - August 9, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2018 - May 29, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 9, 2014 - July 13, 2018
STRATEGIC ADVISERS LLC
May 29, 2012 - May 28, 2019
FIDELITY BROKERAGE SERVICES LLC
September 26, 2011 - May 16, 2012
COMMONWEALTH FINANCIAL NETWORK
October 9, 2009 - June 1, 2011
RBC CAPITAL MARKETS, LLC
September 29, 2008 - October 9, 2009
J. B. HANAUER & CO.
January 5, 2007 - August 12, 2008
RAYMOND JAMES & ASSOCIATES, INC.
November 9, 1999 - July 25, 2006
CINCINNATI ANALYSTS, INC.
June 28, 1999 - September 24, 1999
CITIGROUP GLOBAL MARKETS INC.
April 10, 1997 - May 21, 1999
ADVEST, 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
Series 99TO
Date: 1/2/2023
Operations Professional 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.
