Dipti S. Ghosh

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CRD#: 1584665

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.

Dipti Sheila Ghosh, who also goes by Dee Ghosh, was a registered financial professional .

Dipti is a previously registered financial professional and started their career in finance in 1986. Dipti had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dee Ghosh

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 23, 2008 - August 12, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

May 23, 2008 - August 12, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN FRANCISCO, CA

Past

September 20, 2000 - June 9, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

June 14, 2000 - June 9, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN FRANCISCO, CA

Past

November 29, 1996 - April 13, 2000

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

December 23, 1986 - December 9, 1996

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 23, 1986 - December 9, 1996

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA

Registered Investment Advisory firm - SEC (10/5/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/21/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/27/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/13/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/22/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA

Registered Investment Advisory firm - SEC (10/5/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205

Mailing Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103

Phone number

(314) 875-3000

Established

Delaware since 03/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

19,017

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WFA RETIREMENT PLAN CONSULTING (9/22/2025)

WFA FA AND CLIENT DIRECTED WRAP FEE BROCHURE (9/22/2025)

WRAP FEE PROGRAM BROCHURE FOR INTUITIVE INVESTOR PROGRAM (9/22/2025)

WFA WRAP FEE BROCHURE FOR PERSONALIZED UMA - FUNDSOURCE - PRIVATE ADVISOR NETWORK - CUSTOMIZED PORTFOLIOS (9/22/2025)

FEE-BASED PLANNING SERVICES (9/2/2025)

WFA INSTITUTIONAL CONSULTING SERVICES (8/4/2025)

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	Cover Page	Report
12/11/2023	Cover Page	Report
02/17/2023	Cover Page	Report

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.

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Firm Stability Insights

Dipti S. Ghosh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

FFP SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2000

Series 63

Date: 7/27/1987

SIE

Date: 10/1/2018

Series 7

Date: 6/13/2000

Series 6

Date: 12/22/1986

Current Firm

WELLS FARGO CLEARING SERVICES, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO CLEARING SERVICES, LLC

TRUST BUT VERIFY

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