Lewis H. Kairys
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.
Lewis H Kairys, who also goes by Lewis Herbert Kairys, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1963. Lewis had worked at 12 firms and has passed the Series 63, Series 7, Series 15, Series 5, PC, Series 1, Series 27, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2012 - September 16, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 31, 2012 - September 16, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 24, 2006 - September 10, 2012
UBS FINANCIAL SERVICES INC.
March 24, 2006 - September 10, 2012
UBS FINANCIAL SERVICES INC.
July 8, 1997 - April 7, 2006
CITIGROUP GLOBAL MARKETS INC.
August 4, 1993 - April 7, 2006
CITIGROUP GLOBAL MARKETS INC.
August 7, 1990 - January 28, 1991
BRENNER SECURITIES CORPORATION
November 10, 1989 - February 17, 1994
THE HERITAGE GROUP, INC.
February 14, 1986 - July 18, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
November 22, 1977 - March 4, 1986
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
June 26, 1974 - November 8, 1974
HAYDEN STONE INC.
August 24, 1970 - September 22, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
December 27, 1963 - February 11, 1972
STEIN BROS. & BOYCE, 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 15
Date: 2/25/1985
Foreign Currency Options ExaminationSeries 5
Date: 2/17/1982
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/8/1962
Registered Representative ExaminationSeries 40
Date: 2/14/1972
Registered Principal ExaminationSeries 12
Date: 6/21/1971
NYSE Branch Manager 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 | 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.
