JP
Julie E. Pekrul
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CRD#: 2283931
JP
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.
Julie Elizabeth Pekrul, who also goes by Julie Elizabeth Hall, was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 1993. Julie had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Julie Elizabeth Hall
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
GOODWILL MICROENTERPRISE ENTREPRENEURSHIP, NOT INV RELATED, STEVEN WEIDITZ, FL, INSTRUCTOR, START: 6/2012, 24 HOURS PER MONTH/0 DURING TRADING, DUTIES: TEACH DISPLACED WORKERS. SHOEBOX SERMONS A GREAT GRANDFATHER'S LEGACY, NOT INV RELATED, NAPLES, FL, START: 2013, 0 HOURS, NO DUTIES, AUTHOR. MLJ LAND, LLC, INVT RELATED, PINELLAS PARK, FL, 33.33% OWNERSHIP, START DATE 12/2/2021, 1 HR PER MONTH, 1 HR DURING TRADING, PARTIAL OWNER OF LLC FOR LAND AND CASH OF GRANDFATHERS TRUST. MARJUL ENTERPRISES, LLC, INVT RELATED, PINELLAS PARK, FL, 50% OWNERSHIP, START DATE 12/1/2021, 1 HR PER MONTH, 1 HR DURING TRADING, PARTIAL OWNER OF LLC FOR LAND AND CASH OF GRANDFATHERS TRUST. BUTLER HOUSE, LLC, INVT RELATED, NAPLES, FL, 98% OWNERSHIP, START DATE 3/2/2022, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER OF POSSIBLE PURCHASE OF SECOND HOME.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 20, 2017 - November 3, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NAPLES, FL
Past
July 19, 2017 - November 3, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NAPLES, FL
Past
March 23, 2015 - July 17, 2017
MORGAN STANLEY
RIA
CRD#: 149777
NAPLES, FL
Past
March 13, 2015 - July 17, 2017
MORGAN STANLEY
BD
CRD#: 149777
NAPLES, FL
Past
October 29, 2014 - March 16, 2015
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
FORT MYERS, FL
Past
July 9, 2014 - March 16, 2015
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
FORT MYERS, FL
Past
August 31, 1993 - October 30, 1993
OLD KENT FINANCIAL ADVISORS
BD
CRD#: 17039
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING
CRD#: 19616 / SEC#: 801-37967, 8-37180
RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING
CRD#: 19616 / SEC#: 801-37967, 8-37180
RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
19,017
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.
