Alan M. Leonetti
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.
Alan Michael Leonetti was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1987. Alan had worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2013 - October 6, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 24, 2013 - October 6, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 12, 2013 - April 9, 2013
EDWARD JONES
February 22, 2013 - April 9, 2013
EDWARD JONES
June 30, 2003 - October 27, 2003
HIGH MARK SECURITIES, INC.
May 1, 2003 - August 8, 2003
INVESTMENT ADVISORY OF LEE COUNTY, LLC
April 10, 2003 - May 13, 2003
KESCO SECURITIES CORP.
December 21, 2001 - January 4, 2003
AMERIPRISE ADVISOR SERVICES, INC.
June 23, 2000 - October 2, 2000
IDS LIFE INSURANCE COMPANY
June 23, 2000 - October 2, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
June 14, 1999 - February 14, 2000
MORGAN STANLEY DW INC.
March 18, 1999 - June 1, 1999
PRUCO SECURITIES, LLC.
September 8, 1997 - December 11, 1998
BNY MELLON SECURITIES CORPORATION
July 18, 1997 - September 9, 1997
MURIEL SIEBERT & CO., LLC
May 5, 1997 - November 11, 1997
IDS LIFE INSURANCE COMPANY
May 5, 1997 - November 11, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
October 21, 1993 - April 8, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 1993 - April 8, 1997
IDS LIFE INSURANCE COMPANY
April 4, 1991 - August 30, 1993
ADVEST, INC.
October 4, 1990 - December 18, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 3, 1988 - October 11, 1990
SECURICORP, INC.
February 3, 1988 - June 1, 1988
AMERICAN CAPITAL EQUITIES, INC.
September 24, 1987 - December 19, 1987
THE STUART-JAMES COMPANY, 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.
