Mark R. Telfer
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.
Mark Robert Telfer was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 22 firms and has passed the Series 63, SIE, Series 7 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
January 15, 2025 - October 15, 2025
WELLS FARGO CLEARING SERVICES, LLC
July 5, 2013 - March 22, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 31, 1998 - May 31, 2013
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 2, 1998 - February 2, 1998
MENTOR SERVICES COMPANY, LLC
February 2, 1998 - July 6, 1998
HEARTLAND INVESTOR SERVICES, LLC
January 14, 1997 - July 6, 1998
WILLAMETTE SECURITIES, INC.
January 2, 1997 - June 30, 1998
MGI FUNDS DISTRIBUTORS, LLC
January 2, 1997 - July 6, 1998
FORESIDE INVESTMENT SERVICES, LLC
January 2, 1997 - July 6, 1998
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
January 2, 1997 - July 6, 1998
NEW COVENANT FUNDS DISTRIBUTOR, INC.
January 2, 1997 - July 6, 1998
EVERGREEN DISTRIBUTOR, INC.
January 2, 1997 - July 6, 1998
STI CLASSIC FUND SERVICES, INC
January 2, 1997 - July 6, 1998
CITI DISTRIBUTION SERVICES, INC.
April 1, 1996 - July 6, 1998
BD COMPLIANCE SOLUTIONS, LLC
March 9, 1996 - December 4, 1996
BANCWEST INVESTMENT SERVICES, INC.
March 9, 1996 - February 2, 1998
MENTOR SERVICES COMPANY, LLC
March 9, 1996 - July 6, 1998
BISYS SHELF B/D (1), INC.
March 9, 1996 - July 6, 1998
VICTORY CAPITAL SERVICES, INC.
March 9, 1996 - July 6, 1998
FTFD FUND DISTRIBUTOR, INC.
March 9, 1996 - July 6, 1998
PROFUNDS DISTRIBUTORS, INC.
March 9, 1996 - July 6, 1998
JONES, BYRD, & ATTKISSON, INC.
December 5, 1995 - July 6, 1998
FORESIDE DISTRIBUTION SERVICES, L.P.
March 25, 1991 - November 22, 1994
FIFTH THIRD SECURITIES, 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
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.
