William S. Lardin
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.
William Scott Lardin was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 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
February 18, 2015 - March 26, 2026
WELLS FARGO CLEARING SERVICES, LLC
December 24, 2014 - March 26, 2026
WELLS FARGO CLEARING SERVICES, LLC
October 24, 2006 - August 4, 2014
HSBC SECURITIES (USA) INC.
October 20, 2006 - October 20, 2006
HSBC SECURITIES (USA) INC.
October 20, 2006 - August 4, 2014
HSBC SECURITIES (USA) INC.
October 20, 2004 - October 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 25, 2002 - October 20, 2004
QUICK & REILLY, INC.
December 17, 2001 - October 20, 2004
QUICK & REILLY, INC.
May 25, 1999 - January 30, 2002
MORGAN STANLEY DW INC.
September 18, 1996 - May 25, 1999
CHASE INVESTMENT SERVICES CORP.
August 1, 1994 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
May 24, 1994 - August 1, 1994
IFMG SECURITIES, INC.
July 6, 1993 - June 17, 1994
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1992 - May 25, 1994
CITICORP INVESTMENT SERVICES
May 28, 1992 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
January 22, 1991 - May 1, 1992
DAVID LERNER 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
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.
