John S. Duchala
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.
John Stephen Duchala was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 4, 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
October 5, 2009 - January 4, 2019
WELLS FARGO CLEARING SERVICES, LLC
October 2, 2009 - January 4, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 1, 2008 - August 28, 2009
WELLS FARGO INVESTMENTS, LLC
August 1, 2008 - August 28, 2009
WELLS FARGO INVESTMENTS, LLC
October 11, 2007 - March 5, 2008
J.P. MORGAN SECURITIES INC.
July 27, 2006 - March 5, 2008
J.P. MORGAN SECURITIES INC.
February 7, 2005 - November 28, 2006
CHASE INVESTMENT SERVICES CORP.
November 22, 2004 - November 28, 2006
CHASE INVESTMENT SERVICES CORP.
December 27, 2001 - May 2, 2005
BANC ONE SECURITIES CORPORATION
September 6, 2001 - May 2, 2005
BANC ONE SECURITIES CORPORATION
September 25, 2000 - April 12, 2001
M&I FINANCIAL ADVISORS, INC
January 12, 1999 - September 14, 2000
WELLS FARGO SECURITIES INC.
April 28, 1997 - September 14, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 9, 1996 - May 8, 1997
ARK FUNDS DISTRIBUTORS, LLC
March 24, 1995 - May 22, 1996
VICTORIA SECURITIES CORPORATION
November 11, 1994 - March 10, 1995
LEGG MASON WOOD WALKER, INCORPORATED
November 5, 1992 - December 7, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 14, 1988 - November 16, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 14, 1988 - November 16, 1992
PRUCO SECURITIES, LLC.
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.
