Kedar V. Kokatay
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.
Kedar Vinayak Kokatay, who also goes by Kedar Kokatay, was a registered financial professional .
Kedar is a previously registered financial professional and started their career in finance in 1994. Kedar had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2016 - October 9, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 11, 2016 - October 9, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 28, 2013 - August 30, 2016
CITIGROUP GLOBAL MARKETS INC.
March 28, 2013 - August 30, 2016
CITIGROUP GLOBAL MARKETS INC.
August 30, 2011 - April 1, 2013
U.S. BANCORP INVESTMENTS, INC.
August 30, 2011 - April 1, 2013
U.S. BANCORP INVESTMENTS, INC.
January 3, 2011 - August 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - August 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 29, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 29, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 21, 2010 - July 15, 2010
AMERITAS INVESTMENT COMPANY, LLC
June 4, 2009 - July 15, 2010
AMERITAS INVESTMENT COMPANY, LLC
July 2, 2002 - July 25, 2002
FINANCIAL WEST GROUP
June 14, 2001 - July 25, 2002
FINANCIAL WEST GROUP
July 22, 1999 - December 31, 2000
MUTUAL SECURITIES, INC.
June 6, 1997 - July 26, 1999
UBS FINANCIAL SERVICES INC.
January 13, 1994 - June 11, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
