Henry H. Pang
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.
Henry Hon Kuen Pang, who also goes by Henry H Pang, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1996. Henry had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, 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
March 10, 2021 - October 12, 2023
WELLS FARGO CLEARING SERVICES, LLC
March 9, 2021 - October 12, 2023
WELLS FARGO CLEARING SERVICES, LLC
February 27, 2018 - March 2, 2021
TD AMERITRADE, INC.
February 26, 2018 - March 2, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - March 2, 2021
TD AMERITRADE, INC.
September 28, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
March 3, 2016 - February 26, 2018
SCOTTRADE, INC.
January 30, 2015 - March 8, 2016
GLOBALINK SECURITIES, INC.
March 5, 2013 - July 12, 2013
J.P. MORGAN SECURITIES LLC
March 5, 2013 - July 12, 2013
J.P. MORGAN SECURITIES LLC
April 18, 2012 - February 28, 2013
TD AMERITRADE, INC.
April 18, 2012 - February 28, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 18, 2012 - February 28, 2013
TD AMERITRADE, INC.
September 12, 2007 - May 13, 2011
CHARLES SCHWAB & CO., INC.
September 12, 2007 - May 13, 2011
CHARLES SCHWAB & CO., INC.
November 21, 2005 - August 7, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2005 - August 7, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 2002 - August 17, 2005
CHARLES SCHWAB & CO., INC.
October 22, 1996 - August 17, 2005
CHARLES SCHWAB & CO., 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.
