Mark A. Hobbs
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 Anthony Hobbs was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 16 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2012 - February 27, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 21, 2010 - August 18, 2011
CITIGROUP GLOBAL MARKETS INC.
December 18, 2009 - March 19, 2010
MSI FINANCIAL SERVICES, INC.
August 20, 2008 - September 9, 2009
NYLIFE SECURITIES LLC
October 4, 2006 - October 18, 2007
CHASE INVESTMENT SERVICES CORP.
October 4, 2006 - October 18, 2007
CHASE INVESTMENT SERVICES CORP.
December 15, 2005 - October 4, 2006
BNY INVESTMENT CENTER INC.
December 15, 2005 - October 4, 2006
BNY INVESTMENT CENTER INC.
May 25, 2005 - December 6, 2005
CETERA INVESTMENT SERVICES LLC
May 25, 2005 - December 6, 2005
CETERA INVESTMENT SERVICES LLC
June 11, 2003 - May 20, 2005
IFMG SECURITIES, INC.
April 4, 2003 - May 20, 2005
IFMG SECURITIES, INC.
June 18, 2002 - April 1, 2003
INVEST FINANCIAL CORPORATION
June 12, 2002 - April 1, 2003
INVEST FINANCIAL CORPORATION
August 22, 2001 - May 24, 2002
CITICORP INVESTMENT SERVICES
October 6, 1999 - August 22, 2001
LASALLE FINANCIAL SERVICES, INC.
October 1, 1999 - September 20, 2000
ESSEX NATIONAL SECURITIES, LLC
August 12, 1998 - October 22, 1999
CITICORP INVESTMENT SERVICES
April 21, 1998 - May 29, 1998
NATIONAL SECURITIES CORPORATION
May 5, 1997 - January 29, 1998
MORGAN STANLEY DW INC.
February 20, 1997 - May 7, 1997
MATRIX SECURITIES CORPORATION
June 24, 1996 - July 9, 1996
MAY, DAVIS GROUP 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.
