Holly L. Hovsepian
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.
Holly L Hovsepian, who also goes by Holly Frank, Holly Lynne Hovsepian, Holly Hovsepian, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 1995. Holly had worked at 10 firms and has passed the 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
July 8, 2021 - December 2, 2024
WELLS FARGO CLEARING SERVICES, LLC
January 18, 2017 - August 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 9, 2016 - August 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 1, 2013 - December 22, 2015
VANGUARD MARKETING CORPORATION
January 22, 2013 - September 3, 2013
ALIGHT FINANCIAL SOLUTIONS, LLC
October 23, 2009 - July 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 26, 2007 - June 3, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
January 14, 2005 - June 12, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 20, 2003 - November 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2002 - April 4, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 4, 1998 - December 18, 2001
MORGAN STANLEY DW INC.
January 14, 1998 - February 26, 1998
CIBC WORLD MARKETS CORP.
December 20, 1996 - December 23, 1997
MORGAN STANLEY DW INC.
October 6, 1995 - January 12, 1996
WOODBURY FINANCIAL SERVICES, 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.
