Fuad A. Oshodi
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.
Fuad Adekoye Oshodi, who also goes by Fuad A Oshodi, was a registered financial professional .
Fuad is a previously registered financial professional and started their career in finance in 1997. Fuad had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 4 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
October 10, 2012 - July 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 10, 2011 - October 3, 2012
WTS PROPRIETARY TRADING GROUP LLC
July 1, 2005 - October 29, 2009
TOWER SQUARE SECURITIES, INC.
September 1, 2004 - October 29, 2009
WALNUT STREET SECURITIES, INC.
September 1, 2004 - October 29, 2009
NEW ENGLAND SECURITIES
February 28, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 28, 2003 - October 29, 2009
MSI FINANCIAL SERVICES, INC.
February 23, 2001 - November 6, 2001
PERSHING LLC
February 26, 1999 - February 6, 2001
HARRISDIRECT LLC
May 21, 1998 - November 5, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 21, 1998 - November 5, 1998
EQUITABLE ADVISORS, LLC
September 26, 1997 - March 27, 1998
BARINGTON CAPITAL GROUP, L.P.
June 25, 1997 - September 24, 1997
THE BOSTON GROUP
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: 5/8/2001
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 | 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.
