W. Rex Sparks
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.
W. Rex Sparks, who also goes by Rex Sparks, Wade Rex Sparks, was a registered financial professional .
W. Rex is a previously registered financial professional and started their career in finance in 1993. W. Rex had worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2013 - April 12, 2024
WELLS FARGO CLEARING SERVICES, LLC
October 9, 2013 - April 12, 2024
WELLS FARGO CLEARING SERVICES, LLC
September 20, 2011 - November 6, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2011 - November 6, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 2010 - July 19, 2011
CHASE INVESTMENT SERVICES CORP.
April 22, 2010 - July 19, 2011
CHASE INVESTMENT SERVICES CORP.
October 9, 2009 - March 24, 2010
OSAIC INSTITUTIONS, INC.
October 9, 2009 - March 24, 2010
OSAIC INSTITUTIONS, INC.
May 27, 2009 - September 22, 2009
MML INVESTORS SERVICES, LLC
May 4, 2009 - September 22, 2009
MML INVESTORS SERVICES, LLC
January 7, 1998 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1998 - February 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 8, 1993 - January 1, 1998
NATIONSSECURITIES
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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 | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 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.
