Karl K. Motey
Professional summary
Karl Kaveh Motey was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Karl is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Karl had worked at 6 firms, which includes WELLS FARGO SECURITIES LLC, WELLS FARGO CLEARING SERVICES LLC, CANACCORD GENUITY SECURITIES LLC, DEUTSCHE BANK SECURITIES INC., DB ALEX. BROWN LLC, ALEX. BROWN & SONS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2003 - April 26, 2006
WELLS FARGO SECURITIES, LLC
April 12, 2001 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 20, 1999 - March 27, 2001
CANACCORD GENUITY SECURITIES LLC
June 7, 1999 - July 30, 1999
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 7, 1999
DB ALEX. BROWN LLC
January 9, 1997 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
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 62
Date: 1/8/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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