John W. Viteritti
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.
John William Viteritti was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 15 firms and has passed the Series 63, SIE, Series 55 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
December 4, 2014 - August 24, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 5, 2014 - October 20, 2014
T3 TRADING GROUP, LLC
April 29, 2014 - May 27, 2014
APB FINANCIAL GROUP, LLC
May 26, 2011 - April 16, 2014
MAXIM GROUP LLC
December 10, 2009 - June 23, 2011
AXIOM CAPITAL MANAGEMENT, INC.
March 2, 2006 - November 30, 2009
RODMAN & RENSHAW, LLC
November 17, 2003 - December 8, 2003
MORGAN STANLEY DW INC.
August 4, 2003 - September 25, 2003
A.B. WATLEY, INC.
July 19, 2002 - May 30, 2003
BROKERAGEAMERICA, LLC
May 14, 2002 - July 23, 2002
APEX CLEARING CORPORATION
March 20, 1995 - March 12, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
December 13, 1993 - March 22, 1995
LABRANCHE FINANCIAL SERVICES, LLC
January 29, 1992 - January 1, 1994
CIBC WORLD MARKETS CORP.
May 1, 1991 - October 1, 1991
PRUDENTIAL EQUITY GROUP, LLC
February 13, 1991 - April 16, 1991
LEHMAN BROTHERS 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
Series 55
Date: 10/28/1999
Limited Representative-Equity Trader ExamCurrent 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.
