Marie A. Conheeney
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.
Marie A. Conheeney, who also goes by Marie Anntoinette Conheeney, Marie A Pandolfi, Marie Anntoinette Pandolfi, Marie A Pandolfi-lepore, Marie Anntoinette Pandolfi-lepore, Marie Conheeney, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1997. Marie had worked at 9 firms and has passed the Series 66, 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
May 17, 2018 - January 9, 2026
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2018 - January 9, 2026
WELLS FARGO CLEARING SERVICES, LLC
July 6, 2016 - April 27, 2018
MORGAN STANLEY
July 6, 2016 - April 27, 2018
MORGAN STANLEY
July 10, 2015 - June 3, 2016
BLACKROCK INVESTMENT MANAGEMENT, LLC
April 14, 2015 - June 3, 2016
BLACKROCK INVESTMENTS, LLC
June 12, 2008 - August 21, 2009
TRANSAMERICA CAPITAL, LLC
September 13, 2004 - July 1, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2003 - September 3, 2004
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 13, 2002 - June 13, 2003
PRUCO SECURITIES, LLC.
November 17, 1997 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
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 | 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.
