Andrew A. Hsu
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.
Andrew Ann Kow Hsu, who also goes by Am Kow Hsu, Andrew K Hsu, Andrew Hsu, Andy A K Hsu, Andy Ann Kow Hsu, Andy Hsu, Ann Kow Hsu, was a registered financial advisor .
Andrew is a previously registered financial advisor and started their career in finance in 1988. Andrew had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2007 - August 27, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 19, 2007 - August 27, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 21, 2006 - June 1, 2006
WAMU INVESTMENTS, INC.
June 18, 2003 - June 1, 2006
WAMU INVESTMENTS, INC.
June 3, 2002 - December 20, 2002
IFMG SECURITIES, INC.
May 2, 2001 - May 17, 2002
WELLS FARGO INVESTMENTS, LLC
April 14, 1997 - May 2, 2001
WELLS FARGO SECURITIES INC.
November 2, 1995 - August 2, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 2, 1995 - November 7, 1995
IFMG SECURITIES, INC.
July 19, 1994 - September 21, 1995
WELLS FARGO SECURITIES INC.
October 31, 1991 - July 12, 1994
CITICORP INVESTMENT SERVICES
May 6, 1991 - October 23, 1991
MORGAN STANLEY DW INC.
August 9, 1989 - February 28, 1991
LEHMAN BROTHERS INC.
September 20, 1988 - September 7, 1989
DREXEL BURNHAM LAMBERT 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.
