Rudy Rostum
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.
Rudy Rostum, who also goes by Latchman Mohan, Rudy L Rostum, was a registered financial professional .
Rudy is a previously registered financial professional and started their career in finance in 2000. Rudy had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2017 - February 18, 2025
WELLS FARGO SECURITIES, LLC
May 3, 2017 - May 23, 2018
WELLS FARGO PRIME SERVICES, LLC
March 17, 2010 - May 1, 2017
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
June 23, 2006 - May 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 2002 - June 20, 2006
J.P. MORGAN CLEARING CORP.
November 5, 2002 - June 20, 2006
J.P. MORGAN SECURITIES LLC
March 31, 2002 - September 23, 2002
MIZUHO SECURITIES USA LLC
March 8, 2000 - March 31, 2002
AUBREY G. LANSTON & CO., INC.
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 99TO
Date: 1/2/2023
Operations Professional 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 |
Red Flags
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