Frederick T. Blue
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.
Frederick Todd Blue, AIF®, CFP®, who also goes by Fred Blue, Frederick T Blue, Frederick Todd Blue, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1991. Frederick had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2022 - October 8, 2025
WELLS FARGO CLEARING SERVICES, LLC
October 19, 2022 - October 8, 2025
WELLS FARGO CLEARING SERVICES, LLC
August 9, 2016 - September 2, 2022
VOYA FINANCIAL ADVISORS, INC.
July 13, 2016 - September 2, 2022
VOYA FINANCIAL ADVISORS, INC.
March 25, 2008 - July 13, 2016
VOYA FINANCIAL PARTNERS, LLC
February 5, 2004 - November 3, 2006
TIAA-CREF TRUST COMPANY, FSB
August 26, 2002 - March 3, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 2, 1999 - August 5, 2002
VOYA FINANCIAL PARTNERS, LLC
November 29, 1994 - December 31, 1995
TEACHERS PERSONAL INVESTORS SERVICES, INC.
November 3, 1994 - July 29, 1999
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 6, 1992 - July 14, 1994
VANGUARD MARKETING CORPORATION
October 10, 1991 - October 23, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 10, 1991 - October 23, 1992
PRUCO SECURITIES, LLC.
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.
