Gregory S. Buker
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.
Gregory Scott Buker was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1997. Gregory had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 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
January 12, 2024 - March 19, 2024
WELLS FARGO CLEARING SERVICES, LLC
January 10, 2024 - March 19, 2024
WELLS FARGO CLEARING SERVICES, LLC
April 30, 2022 - August 3, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 30, 2022 - August 3, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 8, 2022 - May 1, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 8, 2022 - May 1, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 6, 2016 - June 24, 2021
SANTANDER SECURITIES LLC
December 6, 2016 - June 24, 2021
SANTANDER SECURITIES LLC
July 2, 2012 - February 23, 2016
PNC WEALTH MANAGEMENT LLC
June 29, 2012 - February 23, 2016
PNC WEALTH MANAGEMENT LLC
March 22, 2007 - May 8, 2012
CHARLES SCHWAB & CO., INC.
March 22, 2007 - May 8, 2012
CHARLES SCHWAB & CO., INC.
November 30, 2006 - March 12, 2007
STRATEGIC ADVISERS LLC
May 4, 2006 - March 12, 2007
FIDELITY BROKERAGE SERVICES LLC
July 12, 2005 - April 7, 2006
NYLIFE SECURITIES LLC
September 2, 1997 - June 1, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
July 16, 1997 - June 1, 2005
IDS LIFE INSURANCE COMPANY
July 16, 1997 - June 1, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
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 | 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.
