Lino Safieddine
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.
Lino Safieddine was a registered financial professional .
Lino is a previously registered financial professional and started their career in finance in 1997. Lino had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2015 - January 2, 2019
WELLS FARGO CLEARING SERVICES, LLC
April 17, 2015 - January 2, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2013 - April 21, 2015
U.S. BANCORP INVESTMENTS, INC.
January 2, 2013 - April 21, 2015
U.S. BANCORP INVESTMENTS, INC.
October 23, 2009 - January 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 31, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 7, 2007 - November 5, 2008
INVEST FINANCIAL CORPORATION
April 30, 2007 - November 5, 2008
INVEST FINANCIAL CORPORATION
January 30, 2007 - May 8, 2007
PFIC ADVISORS, INC.
January 11, 2007 - April 30, 2007
PFIC SECURITIES CORPORATION
May 13, 2003 - July 25, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 9, 2003 - July 25, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 10, 2003 - May 8, 2003
SYNERGY INVESTMENT GROUP, LLC
March 10, 2003 - May 8, 2003
SYNERGY INVESTMENT GROUP, LLC
September 25, 2002 - February 20, 2003
MORGAN STANLEY DW INC.
February 2, 2001 - February 20, 2003
MORGAN STANLEY DW INC.
January 1, 1999 - January 23, 2001
WAMU INVESTMENTS, INC.
November 18, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
March 21, 1998 - November 3, 1998
HUNTER WORLD MARKETS, INC.
September 8, 1997 - December 5, 1997
JOSEPH CHARLES & ASSOC., INC.
July 30, 1997 - September 11, 1997
E-W INVESTMENTS, 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.
