Timothy E. Griffith
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.
Timothy Earl Griffith was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1973. Timothy had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2013 - June 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - June 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
March 29, 1994 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 27, 1989 - March 28, 1994
LEGG MASON WOOD WALKER, INCORPORATED
May 31, 1984 - February 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 1980 - June 4, 1984
LEHMAN BROTHERS INC.
January 31, 1980 - March 26, 1986
UBS FINANCIAL SERVICES INC.
September 16, 1977 - October 16, 1977
PRUDENTIAL EQUITY GROUP, LLC
August 24, 1977 - November 29, 1983
CITIGROUP GLOBAL MARKETS INC.
October 8, 1976 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
March 24, 1975 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 24, 1974 - March 20, 1975
LANCASTER LEEDS & CO., INC.
February 8, 1974 - August 15, 1974
SHEARSON LOEB RHOADES & CO
July 2, 1973 - March 14, 1974
DUPONT WALSTON, INCORPORATED
February 14, 1973 - July 2, 1973
DUPONT GLORE FORGAN 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 15
Date: 2/7/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 2/8/1973
Registered Representative ExaminationSeries 8
Date: 4/18/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
