Doreen Kramer
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.
Doreen Kramer, who also goes by Doreen Marie Kramer, Doreen Kramer, Doreen Marie Moore, Doreen Moore, was a registered financial professional .
Doreen is a previously registered financial professional and started their career in finance in 1994. Doreen had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 25, Series 55 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
February 12, 2025 - June 22, 2026
WELLS FARGO CLEARING SERVICES, LLC
February 12, 2025 - June 22, 2026
WELLS FARGO CLEARING SERVICES, LLC
June 17, 2024 - October 3, 2024
PRUCO SECURITIES, LLC.
June 17, 2024 - October 3, 2024
PRUCO SECURITIES, LLC.
February 24, 2023 - June 11, 2024
MORGAN STANLEY
February 24, 2023 - June 11, 2024
MORGAN STANLEY
July 22, 2009 - February 27, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2009 - February 27, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 2007 - February 29, 2008
EQUITABLE ADVISORS, LLC
November 27, 2007 - February 29, 2008
EQUITABLE ADVISORS, LLC
October 5, 1995 - May 31, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 6, 1995 - January 29, 1996
SMITH NEW COURT, INC.
August 1, 1994 - October 25, 1994
SOUTH RICHMOND SECURITIES, 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
Series 25
Date: 1/15/2003
NYSE Trading Assistant ExaminationSeries 55
Date: 11/24/1998
Limited Representative-Equity Trader ExamCurrent 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.
