Brian L. Maryott
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.
Brian L Maryott, CFP® was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1993. Brian had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24, 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
Start date: 2006
Experience
March 6, 2012 - January 26, 2018
WELLS FARGO CLEARING SERVICES, LLC
March 6, 2012 - January 26, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 23, 2012 - February 24, 2012
CETERA WEALTH SERVICES, LLC
January 18, 2012 - February 24, 2012
CETERA WEALTH SERVICES, LLC
August 18, 2010 - February 24, 2012
SILNY BAERD INVESTMENT ADVISORS, LLC
May 29, 2007 - February 24, 2010
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - February 24, 2010
CITIGROUP GLOBAL MARKETS INC.
November 17, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 17, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 26, 2002 - October 23, 2006
WELLS FARGO INVESTMENTS, LLC
February 7, 2002 - October 23, 2006
WELLS FARGO INVESTMENTS, LLC
January 1, 1999 - January 25, 2002
WAMU INVESTMENTS, INC.
July 8, 1995 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
May 4, 1994 - June 8, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
December 20, 1993 - May 11, 1994
MORGAN STANLEY DW 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.
