Mark D. Saddler
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.
Mark Dewitt Saddler, who also goes by Mark D Saddler, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2021 - June 23, 2025
WELLS FARGO CLEARING SERVICES, LLC
November 4, 2021 - June 23, 2025
WELLS FARGO CLEARING SERVICES, LLC
November 25, 2014 - November 22, 2021
UBS FINANCIAL SERVICES INC.
November 21, 2014 - November 22, 2021
UBS FINANCIAL SERVICES INC.
June 20, 2008 - November 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2008 - November 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 2006 - June 25, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2006 - June 25, 2008
J.P. MORGAN SECURITIES INC.
March 2, 2005 - September 27, 2006
BANC ONE SECURITIES CORPORATION
March 1, 2005 - July 1, 2006
BANC ONE SECURITIES CORPORATION
February 25, 2004 - February 1, 2005
COMERICA SECURITIES
August 5, 2003 - February 1, 2005
COMERICA SECURITIES
January 30, 2002 - July 31, 2003
BANC ONE SECURITIES CORPORATION
February 1, 1999 - July 31, 2003
BANC ONE SECURITIES CORPORATION
July 29, 1996 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
July 7, 1994 - June 18, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 1993 - June 13, 1994
LINCOLN FINANCIAL DISTRIBUTORS, 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
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.
