Daniel J. Pettit
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.
Daniel Jon Pettit, who also goes by Daniel J Pettit, Daniel Pettit, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1990. Daniel had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2020 - March 31, 2026
WELLS FARGO CLEARING SERVICES, LLC
July 18, 2020 - March 31, 2026
WELLS FARGO CLEARING SERVICES, LLC
September 14, 2011 - March 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 13, 2011 - March 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2010 - January 4, 2011
BROOKLIGHT PLACE SECURITIES, INC.
April 11, 2007 - February 10, 2009
FIRST BROKERAGE AMERICA, L.L.C.
June 23, 2004 - April 12, 2007
NATIONAL PLANNING CORPORATION
August 12, 2003 - June 9, 2004
CITICORP INVESTMENT SERVICES
August 12, 2003 - June 9, 2004
CITICORP INVESTMENT SERVICES
May 29, 2002 - August 15, 2003
LPL FINANCIAL LLC
May 29, 2002 - August 15, 2003
LPL FINANCIAL LLC
May 15, 2001 - June 12, 2002
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - June 12, 2002
WELLS FARGO INVESTMENTS, LLC
May 22, 1998 - May 2, 2001
WELLS FARGO SECURITIES INC.
May 7, 1990 - April 14, 1997
GREAT WESTERN FINANCIAL 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
Series 7TO
Date: 7/17/2020
General Securities Representative ExaminationCurrent 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.
