JK
Joshua Kohn
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CRD#: 2419594
JK
Professional summary
Joshua Kohn was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joshua is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Joshua had worked at 4 firms, which includes WELLS FARGO CLEARING SERVICES LLC, RUMSON CAPITAL LLC, H G I, STRATTON OAKMONT INC..
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
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 19, 2001 - June 5, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BOCA RATON, FL
Past
July 17, 2001 - June 5, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOCA RATON, FL
Past
July 14, 1999 - July 28, 1999
RUMSON CAPITAL, LLC
BD
CRD#: 33848
MONTEBELLO, NY
Past
January 10, 1997 - July 30, 1997
H G I
BD
CRD#: 14079
JERICHO, NY
Past
February 14, 1995 - December 20, 1996
STRATTON OAKMONT INC.
BD
CRD#: 18692
LAKE SUCCESS, NY
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
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.
