George A. Simonetti
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.
George Anthony Simonetti, who also goes by George Anthony Simonett, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1991. George had worked at 8 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 52TO, Series 99TO, Series 7TO, SIE, Series 3, Series 7, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2014 - June 2, 2021
WELLS FARGO PRIME SERVICES, LLC
March 14, 2014 - April 9, 2014
WELLS FARGO PRIME SERVICES, LLC
July 9, 2010 - April 30, 2013
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
July 1, 2003 - June 2, 2021
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 21, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 14, 1995 - December 2, 1997
BOWLES HOLLOWELL CONNER & CO.
December 4, 1991 - September 15, 1994
LEHMAN GOVERNMENT SECURITIES INC.
December 4, 1991 - September 15, 1994
LEHMAN BROTHERS INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 12/15/2022
General Securities Representative ExaminationCurrent Firm
WELLS FARGO PRIME SERVICES, LLC
CRD#: 133068 / SEC#: , 8-66677
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | OWNER | |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| HALL, JEFFREY | CHIEF OPERATIONS OFFICER | 5292396 |
| KEARNS, WILLIAM J | MANAGER | 2127701 |
| LANGIS, DARREN JOSEPH | MANAGER | 2781108 |
| LEONE, JOHN | MANAGER | 7164476 |
| MCCOOEY, EAMON PATRICK | CEO, PRESIDENT, MANAGER | 1762536 |
| RILEY, MICHAEL FRANCIS | MANAGER | 4165280 |
| YI, SCOTT HUN | CHIEF COMPLIANCE OFFICER | 3152646 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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