William Winsman
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 Winsman, who also goes by William T. Winsman Sr, William Timothy Winsman Sr, William Timothy Winsman, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2021 - August 11, 2026
WELLS FARGO CLEARING SERVICES, LLC
March 5, 2021 - August 11, 2026
WELLS FARGO CLEARING SERVICES, LLC
September 21, 2016 - December 31, 2016
KEY INVESTMENT SERVICES LLC
September 21, 2016 - March 10, 2021
KEY INVESTMENT SERVICES LLC
December 20, 2012 - September 21, 2016
LPL FINANCIAL LLC
June 14, 2010 - September 21, 2016
LPL FINANCIAL LLC
May 16, 2005 - June 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 20, 2003 - May 10, 2005
LPL FINANCIAL LLC
March 14, 1995 - June 30, 2003
HSBC BROKERAGE (USA) INC.
February 13, 1995 - March 15, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
May 9, 1994 - February 1, 1995
KEY INVESTMENTS INC.
June 22, 1993 - May 17, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 3, 1992 - July 2, 1993
WADDELL & REED
July 31, 1991 - October 31, 1991
THRIVENT INVESTMENT MANAGEMENT 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.
