Gregory A. Trichtinger
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.
Gregory Alan Trichtinger, who also goes by Gregory Trichtinger, Greg Trichtinger, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1989. Gregory had worked at 23 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 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
December 11, 2019 - May 14, 2026
WELLS FARGO CLEARING SERVICES, LLC
October 29, 2019 - May 14, 2026
WELLS FARGO CLEARING SERVICES, LLC
February 6, 2019 - October 3, 2019
NATIONWIDE INVESTMENT ADVISORS, LLC
February 6, 2019 - October 3, 2019
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 18, 2012 - May 5, 2017
PNC WEALTH MANAGEMENT LLC
February 15, 2012 - May 5, 2017
PNC WEALTH MANAGEMENT LLC
January 20, 2010 - January 24, 2011
FIRSTMERIT ADVISORS, INC.
January 14, 2010 - January 21, 2011
FIRSTMERIT FINANCIAL SERVICES, INC
February 19, 2009 - January 22, 2010
INVEST FINANCIAL CORPORATION
February 18, 2009 - January 14, 2010
INVEST FINANCIAL CORPORATION
February 10, 2003 - June 2, 2008
THE HUNTINGTON INVESTMENT COMPANY
April 26, 2000 - October 30, 2002
FORESIDE INVESTMENT SERVICES, LLC
January 28, 2000 - August 7, 2001
EVERGREEN DISTRIBUTOR, INC.
January 28, 2000 - October 30, 2002
FTFD FUND DISTRIBUTOR, INC.
January 21, 2000 - August 7, 2001
BISYS SHELF B/D (1), INC.
January 20, 2000 - March 9, 2001
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
January 20, 2000 - August 7, 2001
VICTORY CAPITAL SERVICES, INC.
January 20, 2000 - August 7, 2001
HEARTLAND INVESTOR SERVICES, LLC
January 20, 2000 - August 7, 2001
NEW COVENANT FUNDS DISTRIBUTOR, INC.
January 20, 2000 - August 7, 2001
PROFUNDS DISTRIBUTORS, INC.
January 20, 2000 - August 7, 2001
JONES, BYRD, & ATTKISSON, INC.
January 20, 2000 - October 30, 2002
BD COMPLIANCE SOLUTIONS, LLC
January 19, 2000 - October 30, 2002
CITI DISTRIBUTION SERVICES, INC.
September 22, 1999 - October 30, 2002
STI CLASSIC FUND SERVICES, INC
March 21, 1996 - December 10, 1998
PROFUNDS DISTRIBUTORS, INC.
February 26, 1996 - October 30, 2002
FORESIDE DISTRIBUTION SERVICES, L.P.
May 23, 1989 - November 19, 1990
WESTINGHOUSE SECURITIES CORPORATION
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 | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 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.
