Aaron R. Parthemer
Professional summary
Aaron Robert Parthemer was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Aaron is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Aaron had worked at 7 firms, which includes WELLS FARGO CLEARING SERVICES LLC, MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., BANC OF AMERICA INVESTMENT SERVICES INC., BARNETT INVESTMENTS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, L.C. WEGARD & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2011 - May 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 21, 2011 - May 15, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - November 4, 2011
MORGAN STANLEY
June 1, 2009 - November 4, 2011
MORGAN STANLEY
December 12, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 27, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 1, 1998 - November 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 1, 1998 - November 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 8, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
October 16, 1995 - March 25, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 1994 - October 17, 1995
L.C. WEGARD & CO., 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.
