Nick Hsieh
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.
Nick Hsieh, who also goes by Hsiao N Hseih, Hsiao N Hsieh, Hsiao Nuog Hsieh, Hsiao Hsieh, was a registered financial professional .
Nick is a previously registered financial professional and started their career in finance in 1989. Nick had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2009 - May 3, 2013
WELLS FARGO CLEARING SERVICES, LLC
December 4, 2009 - May 3, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - December 7, 2009
MORGAN STANLEY
June 1, 2009 - December 7, 2009
MORGAN STANLEY
July 27, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 27, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 7, 2005 - August 1, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 2003 - August 1, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 1995 - June 4, 2003
CHARLES SCHWAB & CO., INC.
March 15, 1994 - August 3, 1995
WALSH MANNING SECURITIES, LLC
August 12, 1991 - June 24, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 12, 1991 - June 24, 1992
PRUCO SECURITIES, LLC.
January 8, 1990 - July 29, 1991
PARKGREEN SECURITIES CORP.
August 14, 1989 - January 17, 1990
R.H.DAMON & CO., INC.
April 18, 1989 - July 20, 1989
J. W. GANT & ASSOCIATES, 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 8
Date: 12/20/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
