Ani Ordookhanian
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.
Ani Ordookhanian, who also goes by Ani Mamos, was a registered financial professional .
Ani is a previously registered financial professional and started their career in finance in 1999. Ani had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2024 - May 7, 2026
WELLS FARGO CLEARING SERVICES, LLC
April 10, 2024 - May 7, 2026
WELLS FARGO CLEARING SERVICES, LLC
October 14, 2020 - January 4, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 14, 2020 - January 4, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 15, 2019 - October 14, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 19, 2016 - October 14, 2020
WELLS FARGO CLEARING SERVICES, LLC
December 7, 2015 - September 28, 2016
MUTUAL SECURITIES, INC.
November 29, 2011 - December 17, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 1, 2009 - October 28, 2010
MORGAN STANLEY
January 17, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 25, 2000 - August 8, 2001
CITIGROUP GLOBAL MARKETS INC.
May 25, 1999 - September 15, 2000
DREYFUS 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
Series 55
Date: 4/13/2000
Limited Representative-Equity Trader ExamCurrent 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.
