Brian J. Merrigan
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.
Brian Joseph Merrigan was a registered financial advisor .
Brian is a previously registered financial advisor and started their career in finance in 1992. Brian had worked at 13 firms and has passed the Series 65, Series 63, Series 31 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
August 19, 2011 - January 14, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 19, 2011 - January 14, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 24, 2008 - August 22, 2011
BANCWEST INVESTMENT SERVICES, INC.
June 24, 2008 - August 22, 2011
BANCWEST INVESTMENT SERVICES, INC.
November 1, 2007 - June 24, 2008
NYLIFE SECURITIES LLC
February 1, 2007 - October 1, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - October 1, 2007
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2006 - February 1, 2007
ATLAS SECURITIES, LLC
August 11, 2003 - January 14, 2005
AMERIPRISE ADVISOR SERVICES, INC.
August 22, 2001 - February 3, 2003
MORGAN STANLEY DW INC.
November 6, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
April 12, 2000 - August 4, 2000
U.S. BANCORP INVESTMENTS, INC.
November 23, 1998 - January 13, 2000
NORTHEAST SECURITIES, LLC
March 8, 1997 - November 2, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 23, 1997 - April 4, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
January 18, 1996 - September 18, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 3, 1992 - January 17, 1996
GRUNTAL & CO., L.L.C.
April 9, 1992 - June 2, 1992
J. W. GANT & ASSOCIATES, 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 | 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.
