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BB

Brian J. Begos

Some features on this profile are disabled
CRD#: 1876563
BB

Professional summary

Brian Joseph Begos was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Brian had worked at 7 firms, which includes WELLS FARGO CLEARING SERVICES LLC, HSBC BROKERAGE (USA) INC., REPUBLIC FINANCIAL SERVICES CORPORATION, DIME SECURITIES INC., MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

November 13, 2002 - November 14, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEW ROCHELLE, NY
Past

February 22, 2001 - November 14, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 19, 2000 - February 6, 2001

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

April 2, 1997 - June 19, 2000

REPUBLIC FINANCIAL SERVICES CORPORATION

BD
CRD#: 38293
NEW YORK, NY
Past

February 28, 1995 - April 2, 1997

DIME SECURITIES, INC.

BD
CRD#: 28955
BROOKLYN, NY
Past

June 2, 1993 - March 6, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

August 25, 1989 - June 4, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

June 13, 1989 - August 29, 1989

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 21, 1989 - May 5, 1989

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
IAR
Series 65
Date: 11/7/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/23/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 10/22/1993
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/11/1998
General Securities Principal Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WFA RETIREMENT PLAN CONSULTING (9/22/2025)
WFA FA AND CLIENT DIRECTED WRAP FEE BROCHURE (9/22/2025)
WRAP FEE PROGRAM BROCHURE FOR INTUITIVE INVESTOR PROGRAM (9/22/2025)
WFA WRAP FEE BROCHURE FOR PERSONALIZED UMA - FUNDSOURCE - PRIVATE ADVISOR NETWORK - CUSTOMIZED PORTFOLIOS (9/22/2025)
FEE-BASED PLANNING SERVICES (9/2/2025)
WFA INSTITUTIONAL CONSULTING SERVICES (8/4/2025)

Direct owners and executive officers

NamePositionCRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLCSOLE MEMBER
CRONK, DARRELLHEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL2498892
GINDI, SOLPRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL4903526
KARANIK, ERIK ANTHONYBOARD OF MANAGERS2260890
LACEY, PAULPRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL5616656
PATEL, RAKESHCHIEF FINANCIAL OFFICER / BOARD OF MANAGERS5385585
SAUNDERS, DAVID WARDDESIGNATED STATE PRINCIPAL2448617
SOMESHWAR, PRASANNAHEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL7491790
SOMMERS, BARRYCHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS2301454
TSAMADIAS, CHRISTOS GCHIEF COMPLIANCE OFFICER5433568

Regulatory assets under management

Total Number of Accounts1,327,695
AUM (Assets Under Management)$ 606,037,831,365

Disclosures

Regulatory Event183
Civil Event2
Arbitration303

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/17/2025
Cover Page
Report
01/24/2025
Cover Page
Report
12/11/2023
Cover Page
Report
02/17/2023
Cover Page
Report

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.

Company Information

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

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