Christine L. Decker
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.
Christine Lee Decker, who also goes by Christine Lee Cramer, Christine Lee Gaiser, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1991. Christine had worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 9, Series 10, Series 4, Series 53 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
December 9, 2016 - September 2, 2021
WELLS FARGO CLEARING SERVICES, LLC
December 8, 2016 - September 2, 2021
WELLS FARGO CLEARING SERVICES, LLC
December 5, 2014 - December 9, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
December 3, 2014 - December 9, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
February 24, 2014 - October 27, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
January 28, 2014 - October 27, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 11, 2012 - November 7, 2013
ASSET & FINANCIAL PLANNING, LTD
September 24, 2012 - November 7, 2013
PRIME CAPITAL SERVICES, INC.
August 1, 2012 - September 26, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - September 26, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
April 19, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
August 27, 2010 - April 18, 2012
M&I INVESTMENT MANAGEMENT CORP.
June 11, 2010 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
December 21, 2005 - March 12, 2010
TRUIST INVESTMENT SERVICES, INC.
December 15, 2005 - March 12, 2010
TRUIST INVESTMENT SERVICES, INC.
May 2, 2001 - December 1, 2005
FIFTH THIRD SECURITIES, INC.
February 1, 2001 - May 2, 2001
OLD KENT FINANCIAL ADVISORS
July 21, 2000 - January 31, 2001
NATCITY INVESTMENTS, INC.
July 21, 2000 - January 31, 2001
NATCITY INSURANCE SERVICES, INC.
February 20, 1997 - July 21, 2000
OLD KENT FINANCIAL ADVISORS
June 3, 1991 - February 21, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 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 | 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.
