Gregory M. Heiser
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.
Gregory Mark Heiser, who also goes by Greg Heiser, Gregory Heiser, was a registered financial advisor .
Gregory is a previously registered financial advisor and started their career in finance in 1987. Gregory had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - October 19, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - October 19, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 9, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 9, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
October 7, 2004 - June 6, 2008
WAMU INVESTMENTS, INC.
October 7, 2004 - June 6, 2008
WAMU INVESTMENTS, INC.
May 15, 2001 - October 12, 2004
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - October 12, 2004
WELLS FARGO INVESTMENTS, LLC
December 3, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
November 14, 1998 - November 16, 1999
CAL FED INVESTMENTS
August 29, 1990 - November 14, 1998
GLENFED BROKERAGE SERVICES
January 23, 1990 - August 28, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 1989 - September 28, 1989
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 1, 1989 - July 1, 1989
MARKETING ONE SECURITIES, INC.
August 13, 1987 - January 20, 1989
AGFC INVESTMENT SECURITIES
April 23, 1987 - August 21, 1987
GFC SECURITIES 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
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.
