Benjamin F. Bracy
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.
Benjamin Franklin Bracy III, who also goes by Benjamin Franklin Bracy, Biff Bracy III, Biff Bracy, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1967. Benjamin had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 000, Series 1, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 31, 2001 - January 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
October 18, 2001 - January 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
August 29, 2001 - November 30, 2001
ALLSTATE FINANCIAL SERVICES, LLC
April 2, 2001 - May 18, 2001
CAROLINAS INVESTMENT CONSULTING LLC
May 10, 2000 - March 7, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 25, 2000 - May 16, 2000
TOWER SQUARE SECURITIES, INC.
January 1, 1998 - March 10, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
January 22, 1992 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, INC.
March 31, 1989 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 27, 1986 - March 31, 1989
FIRST TRYON SECURITIES, INC.
March 16, 1982 - December 12, 1985
WACHOVIA SECURITIES, INC.
May 19, 1978 - April 5, 1982
KIDDER, PEABODY & CO. INCORPORATED
May 23, 1974 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
December 23, 1971 - June 8, 1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 30, 1967 - July 4, 1971
HENSBERRY & COMPANY
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 000
Date: 2/25/1972
General Securities Principal ExaminationSeries 1
Date: 1/26/1967
Registered Representative ExaminationSeries 8
Date: 5/28/1982
General Securities Sales Supervisor Examination (Options Module & General Module)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.
