Anne K. Surrett
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.
Anne Kirby Surrett, who also goes by Elizabeth Anne Kirby, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1987. Anne had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 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
December 3, 2010 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
December 2, 2010 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
October 30, 2008 - October 14, 2010
TRUIST INVESTMENT SERVICES, INC.
June 18, 2008 - October 14, 2010
TRUIST INVESTMENT SERVICES, INC.
May 29, 2007 - December 18, 2007
CITIGROUP GLOBAL MARKETS INC.
December 20, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 30, 2004 - March 24, 2006
UST SECURITIES CORP.
March 7, 2003 - June 20, 2003
AT INVESTOR SERVICES, INC.
October 20, 2000 - July 23, 2001
MGI FUNDS DISTRIBUTORS, LLC
February 14, 2000 - October 26, 2000
WACHOVIA SECURITIES, INC.
October 14, 1999 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
December 13, 1994 - October 1, 1999
WACHOVIA BROKERAGE SERVICE
May 1, 1987 - November 14, 1989
G. R. PHELPS & CO., INC.
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.
