Virginia L. West
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.
Virginia Lou West, who also goes by Ginny Naatz, Ginny West, Ginny Witt, was a registered financial professional .
Virginia is a previously registered financial professional and started their career in finance in 1998. Virginia had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2013 - January 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 16, 2013 - January 13, 2014
WELLS FARGO CLEARING SERVICES, LLC
April 30, 2013 - September 5, 2013
KATHLEEN LENOVER, INC.
March 18, 2013 - June 18, 2013
NATIONAL PLANNING CORPORATION
February 2, 2011 - June 18, 2013
NATIONAL PLANNING CORPORATION
February 1, 2007 - April 28, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - April 28, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 18, 2006 - February 1, 2007
ATLAS SECURITIES, LLC
November 11, 2005 - February 13, 2006
MML INVESTORS SERVICES, LLC
September 1, 2004 - August 29, 2005
HORNOR, TOWNSEND & KENT, LLC
September 24, 2002 - August 10, 2004
NEW ENGLAND SECURITIES
March 15, 2002 - September 19, 2002
FORESTERS EQUITY SERVICES, INC.
April 16, 1998 - February 20, 2002
JANUS HENDERSON DISTRIBUTORS US 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.
