Siva K. Pemmaraju
Professional summary
Siva Kumar Pemmaraju was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Siva is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Siva had worked at 3 firms, which includes WELLS FARGO BROKERAGE SERVICES L.L.C., GLOBAL FINANCIAL GROUP INC., HAYNE MILLER FINANCIAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 1996 - May 22, 1998
WELLS FARGO BROKERAGE SERVICES, L.L.C.
November 1, 1994 - March 18, 1996
GLOBAL FINANCIAL GROUP, INC.
February 24, 1992 - October 28, 1994
HAYNE, MILLER FINANCIAL, 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
Current Firm
WELLS FARGO BROKERAGE SERVICES, L.L.C.
CRD#: 16100 / SEC#: , 8-33283
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| HOGG, ALAN THOMAS | DIRECTOR, EXECUTIVE VICE PRESIDENT | 3019085 |
| MATTHIES, SILAS LANGDON JR | DIRECTOR/EXECUTIVE VICE PRESIDENT/ASSISTANT SECRETARY | 1385815 |
| MCGRORY, MATTHEW W. | DIRECTOR | 4917590 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER/VICE PRESIDENT | 724703 |
| SCHAEFER, MICHAEL ALLEN | DIRECTOR | 1599656 |
| SHREWSBERRY, JOHN RICHARD | DIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT | 2264673 |
| ZELLMER, JO ANN | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2169167 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 8 |
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.
