Timothy R. Altepeter
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.
Timothy Robert Altepeter, who also goes by Timothy Robert Altepeter Sr, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1995. Timothy had worked at 12 firms and has passed the Series 66, Series 65, 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
June 16, 2016 - March 23, 2026
WELLS FARGO CLEARING SERVICES, LLC
June 16, 2016 - March 23, 2026
WELLS FARGO CLEARING SERVICES, LLC
June 9, 2015 - May 26, 2016
CUNA BROKERAGE SERVICES, INC.
June 9, 2015 - May 26, 2016
CUNA BROKERAGE SERVICES, INC.
August 13, 2014 - June 8, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 13, 2014 - June 8, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 23, 2014 - June 8, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 23, 2014 - June 8, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 23, 2013 - May 30, 2013
VALIC FINANCIAL ADVISORS, INC.
May 23, 2013 - May 30, 2013
VALIC FINANCIAL ADVISORS, INC.
February 28, 2013 - April 30, 2013
PNC WEALTH MANAGEMENT LLC
February 28, 2013 - April 30, 2013
PNC WEALTH MANAGEMENT LLC
May 7, 2010 - March 29, 2012
VALIC FINANCIAL ADVISORS, INC.
November 23, 2009 - March 29, 2012
VALIC FINANCIAL ADVISORS, INC.
September 18, 2007 - June 3, 2009
GUARDIAN INVESTOR SERVICES LLC
April 30, 2007 - September 12, 2007
U.S. BANCORP INVESTMENTS, INC.
January 25, 2007 - September 12, 2007
U.S. BANCORP INVESTMENTS, INC.
March 17, 2006 - February 2, 2007
THE RIDERWOOD GROUP INCORPORATED
October 13, 2000 - March 3, 2006
TOUCHSTONE SECURITIES, LLC
October 13, 1998 - October 4, 2000
CETERA WEALTH SERVICES, LLC
July 1, 1997 - September 11, 1998
MERCANTILE INVESTMENT SERVICES, INC.
November 16, 1995 - July 1, 1997
GUARANTY BROKERAGE 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 | 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.
