Joan E. Perry
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.
Joan Elaine Perry, who also goes by Joan Elaine Demoss, Joan Elaine Turner, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1987. Joan had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 12, Series 4, Series 27, Series 24 and Series 53 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 - January 7, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 7, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 2, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 2, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 11, 2007 - June 27, 2008
CETERA ADVISORS LLC
September 11, 2007 - June 27, 2008
CETERA WEALTH SERVICES, LLC
April 19, 2007 - June 27, 2008
VOYA FINANCIAL ADVISORS, INC.
April 17, 2007 - June 27, 2008
VOYA FINANCIAL ADVISORS, INC.
August 9, 2006 - April 4, 2007
DEWAAY FINANCIAL NETWORK, LLC
October 12, 2001 - August 4, 2006
WELLS FARGO INVESTMENTS, LLC
May 30, 2001 - August 4, 2006
WELLS FARGO INVESTMENTS, LLC
March 5, 1999 - November 30, 2001
STANTON INVESTMENT SERVICES, INC.
June 2, 1997 - March 3, 1999
BROKER DEALER FINANCIAL SERVICES CORP.
July 21, 1992 - June 2, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
January 27, 1992 - July 23, 1992
BROKER DEALER FINANCIAL SERVICES CORP.
December 2, 1988 - February 5, 1992
DICKINSON & CO.
November 25, 1987 - August 1, 1988
MEYERS POLLOCK ROBBINS, 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
Series 12
Date: 5/7/2001
NYSE Branch Manager ExaminationCurrent 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.
