Charles F. Cochran
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.
Charles Frederick Cochran, who also goes by Chuck Frederick Cochran, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1990. Charles had worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 53, Series 4, Series 8 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
June 25, 2020 - February 9, 2022
WELLS FARGO CLEARING SERVICES, LLC
June 25, 2020 - February 9, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 30, 2014 - January 21, 2020
CETERA WEALTH SERVICES, LLC
January 30, 2014 - January 21, 2020
CETERA WEALTH SERVICES, LLC
November 21, 2011 - December 3, 2013
NORTHLAND SECURITIES, INC.
June 21, 2011 - December 3, 2013
NORTHLAND SECURITIES, INC.
January 3, 2011 - May 17, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 19, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 26, 2007 - February 22, 2010
QUESTAR CAPITAL CORPORATION
October 4, 2006 - November 24, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
August 8, 2006 - November 24, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
December 20, 2000 - April 1, 2005
IDS LIFE INSURANCE COMPANY
December 20, 2000 - April 1, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
July 6, 1998 - January 8, 2000
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
December 20, 1995 - June 8, 1998
CHARLES SCHWAB & CO., INC.
November 15, 1990 - November 24, 1995
IDS LIFE INSURANCE COMPANY
November 15, 1990 - November 24, 1995
AMERIPRISE FINANCIAL SERVICES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 9/12/1997
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.
