Peter J. Evanecko
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.
Peter John Evanecko was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1992. Peter had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 52, Series 6, Series 12, Series 53, Series 4 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
January 3, 2011 - February 7, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - February 7, 2013
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - August 20, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 1, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 19, 1996 - May 7, 2001
WELLS FARGO SECURITIES INC.
August 4, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
June 2, 1992 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
February 27, 1992 - June 1, 1992
METROPOLITAN LIFE INSURANCE COMPANY
February 27, 1992 - June 1, 1992
MSI FINANCIAL SERVICES, 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 12
Date: 6/7/2000
NYSE Branch Manager 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.
