Cleo R. Greene
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.
Cleo Richard Greene III, who also goes by Cleo Greene, was a registered financial professional .
Cleo is a previously registered financial professional and started their career in finance in 1996. Cleo had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2013 - June 24, 2014
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
April 4, 2011 - October 8, 2013
STRUCTURED ASSET INVESTORS, LLC
March 25, 2011 - December 2, 2014
WELLS FARGO SECURITIES, LLC
January 1, 2006 - March 31, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 9, 2005 - March 31, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 8, 2004 - June 29, 2005
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
October 1, 2000 - March 10, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 20, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 22, 1997 - July 8, 1997
BB&T INVESTMENT SERVICES OF SOUTH CAROLINA, INC.
May 19, 1997 - July 8, 1997
BB&T INVESTMENT SERVICES, INC.
September 25, 1996 - May 20, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 25, 1996 - May 20, 1997
OSAIC FA, INC.
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 INSTITUTIONAL SECURITIES, LLC
CRD#: 5958 / SEC#: , 8-16600
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO GAMING CAPITAL, LLC. | PARENT | |
| ALTAMURA, VINCENT | SECRETARY | 5794473 |
| DEROCHI, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER | 2072858 |
| HIGHUM, JON ALAN | PRESIDENT | 1848219 |
| MULLINS, TIMOTHY PAUL | DIRECTOR | 1591930 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER | 724703 |
| PRIMAVERA, TODD GERALD | CHIEF OPERATIONS OFFICER | 2416001 |
| WEISS, JONATHAN GEOFFREY | DIRECTOR | 2362764 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
