Maura L. Hoskins
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.
Maura L Hoskins, who also goes by Maura L Hagen, Maura T Hagen, Maura T. Hagen, Maura T Hoskins, Maura L Tivnan, Maura Lee Tivnan, was a registered financial professional .
Maura is a previously registered financial professional and started their career in finance in 1991. Maura had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 8 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
March 2, 2010 - January 19, 2017
WELLS FARGO CLEARING SERVICES, LLC
February 26, 2010 - January 19, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - March 15, 2010
MORGAN STANLEY
June 1, 2009 - March 15, 2010
MORGAN STANLEY
July 15, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 7, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 19, 2001 - June 3, 2005
MORGAN STANLEY DW INC.
November 15, 2001 - June 3, 2005
MORGAN STANLEY DW INC.
July 13, 1999 - May 12, 2000
TRUIST INVESTMENT SERVICES, INC.
February 15, 1999 - July 1, 1999
UBS FINANCIAL SERVICES INC.
May 19, 1997 - January 26, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 1995 - April 3, 1996
INVESCO CAPITAL MARKETS, INC.
December 7, 1994 - January 27, 1995
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 4, 1994 - June 17, 1994
RAYMOND JAMES & ASSOCIATES, INC.
October 21, 1991 - April 27, 1994
NUVEEN SECURITIES, LLC
July 29, 1991 - October 8, 1991
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
Series 8
Date: 7/7/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
