Edward W. Hanley
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.
Edward William Hanley, who also goes by Ted Hanley, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1994. Edward had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 26, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2013 - May 28, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 31, 2008 - April 29, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 3, 2008 - October 21, 2008
CR BROKER SERVICES, LLC
March 31, 2006 - February 6, 2008
ADP BROKER-DEALER, INC.
February 14, 2006 - March 23, 2006
USALLIANZ SECURITIES, INC.
January 18, 2005 - November 23, 2005
USALLIANZ SECURITIES, INC.
January 13, 2005 - November 23, 2005
USALLIANZ SECURITIES, INC.
October 20, 2004 - January 12, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - January 12, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 4, 2003 - October 20, 2004
QUICK & REILLY, INC.
June 3, 2003 - October 20, 2004
QUICK & REILLY, INC.
August 14, 2000 - June 2, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 21, 1997 - August 8, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 8, 1994 - December 31, 1997
PRUDENTIAL EQUITY GROUP, LLC
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.
