Kevin M. Blair
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.
Kevin Michael Blair was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 12 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2010 - June 7, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 6, 2010 - June 7, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 12, 2008 - October 8, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
February 12, 2008 - October 8, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
September 10, 2007 - January 25, 2008
BI INVESTMENTS, LLC
September 10, 2007 - January 25, 2008
BI INVESTMENTS, LLC
January 19, 2006 - September 5, 2007
CIC ADVISERS, LLC
January 19, 2006 - September 5, 2007
CAPITAL INVESTMENT GROUP, INC.
January 3, 2005 - January 12, 2006
TRUIST INVESTMENT SERVICES, INC.
January 3, 2005 - January 12, 2006
TRUIST INVESTMENT SERVICES, INC.
September 30, 2002 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
September 30, 2002 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
May 7, 2001 - September 30, 2002
INVEST FINANCIAL CORPORATION
August 17, 2000 - September 30, 2002
INVEST FINANCIAL CORPORATION
August 5, 1998 - August 18, 2000
CUNA BROKERAGE SERVICES, INC.
September 17, 1997 - June 8, 1998
IDS LIFE INSURANCE COMPANY
September 17, 1997 - June 8, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
April 18, 1997 - September 26, 1997
OSAIC WEALTH, 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.
