Neil Pohl
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.
Neil Pohl, who also goes by Neil Ira Pohl, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1987. Neil had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 2, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2016 - November 4, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 14, 2016 - November 4, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 12, 2016 - June 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2015 - June 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 2014 - December 17, 2014
MORGAN STANLEY
May 15, 2014 - December 17, 2014
MORGAN STANLEY
April 23, 2014 - April 28, 2014
MORGAN STANLEY
April 23, 2014 - April 28, 2014
MORGAN STANLEY
July 17, 2009 - May 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 21, 2007 - May 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 5, 2000 - September 4, 2007
WESTERN INTERNATIONAL SECURITIES, INC.
February 29, 2000 - November 27, 2007
PENNSYLVANIA CAPITAL MANAGEMENT INC.
February 17, 2000 - October 16, 2000
D.E. FREY & COMPANY, INC.
May 1, 1997 - February 23, 2000
QUICK & REILLY, INC.
March 16, 1989 - June 10, 1997
CHARLES SCHWAB & CO., INC.
July 13, 1988 - February 24, 1989
W.H. NEWBOLD'S SON & CO., INC.
May 21, 1987 - November 6, 1987
INTERNATIONAL SECURITIES GROUP, LTD.
April 23, 1987 - December 31, 1987
AMPAL 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
Series 7TO
Date: 3/8/2024
General Securities Representative ExaminationSeries 2
Date: 4/21/1987
Non-Member General Securities ExaminationSeries 8
Date: 12/12/1994
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.
