MM
Melanie E. Maheras
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CRD#: 1765829
MM
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.
Melanie E Maheras, who also goes by Melanie Eileen Maheras, Melanie Maheras, Melanie E Mueting, Melanie Eileen Mueting, Melanie Mueting, was a registered financial professional .
Melanie is a previously registered financial professional and started their career in finance in 2006. Melanie had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Melanie Eileen Maheras | Melanie Maheras | Melanie E Mueting | Melanie Eileen Mueting | Melanie Mueting
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
RENTAL PROPERTY-2102 POSITION: owner NATURE: real estate rental INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/05/2022 ADDRESS: 1460 N Sandburg Terrace, Apt 2102A, Chicago IL 60610, United States DESCRIPTION: Condo being rented to tenants. Currently rental income barely covers expenses which include HOA fees, taxes, and insurance RENTAL PROPERTY-901 POSITION: owner NATURE: real estate rental INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/05/2022 ADDRESS: 11355 N Sandburg Terrace, Apt 901D, Chicago IL 60610, United States DESCRIPTION: Condo being rented to tenants. Currently rental income barely covers expenses which include HOA fees, taxes, and insurance REAL ESTATE LICENSE, INVT RELATED, CHICAGO, IL, START DATE 6/28/2024, 0-5 HRS PER MONTH, 0 HRS DURING TRADING. | RENTAL PROPERTY; INV RELATED; LAKE FOREST, IL; 16.67% OWNERSHIP; 05/2025; 1 HOUR PER MONTH; 0 DURING TRADING; ESTATE PLANNING FOR PARENTS | LLC FOR PARENTS; INV RELATED; LAKE FOREST, IL; BENEFICIARY; 05/2025; 5 HOURS PER MONTH; 0 DURING TRADING; BENEFICIARY FOR LLC FOR PARENTS RESIDENCE | 891 GLOUCESTER, LLC; INV RELATED; LAKE FOREST, IL; 16.67% OWNERSHIP; 05/2025; 5 HOURS PER MONTH; 0 DURING TRADING; BENEFICIARY FOR PARENT'S LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 1, 2025 - October 8, 2025
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DEERFIELD, IL
Past
October 23, 2023 - October 8, 2025
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DEERFIELD, IL
Past
July 10, 2014 - September 19, 2023
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
CHICAGO, IL
Past
August 25, 2011 - May 30, 2014
EVERLAKE DISTRIBUTORS, LLC
BD
CRD#: 100460
NORTHBROOK, IL
Past
October 12, 2010 - August 5, 2011
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
NORTHBROOK, IL
Past
March 11, 2009 - June 2, 2009
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
NORTHBROOK, IL
Past
July 27, 2007 - November 26, 2008
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
ALGONQUIN, IL
Past
July 27, 2007 - November 26, 2008
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
ALGONQUIN, IL
Past
January 30, 2007 - July 31, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DEERFIELD, IL
Past
November 15, 2006 - July 31, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DEERFIELD, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING
CRD#: 19616 / SEC#: 801-37967, 8-37180
RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING
CRD#: 19616 / SEC#: 801-37967, 8-37180
RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
19,017
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.
