Selwyn G. Singletary
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.
Selwyn Gerard Singletary, who also goes by Selwyn G Singletary, Selwyn Gerad Singletary, was a registered financial professional .
Selwyn is a previously registered financial professional and started their career in finance in 1998. Selwyn had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 55, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2016 - April 12, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 29, 2016 - April 12, 2021
WELLS FARGO CLEARING SERVICES, LLC
April 8, 2014 - October 19, 2015
FIRST CLEARING, LLC
May 1, 2009 - September 2, 2010
FIRST CLEARING, LLC
June 6, 2005 - October 19, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 6, 2005 - October 19, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 20, 2004 - April 23, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - April 23, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 14, 2003 - October 20, 2004
QUICK & REILLY, INC.
August 14, 2003 - October 20, 2004
QUICK & REILLY, INC.
January 2, 2003 - January 30, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
December 2, 2002 - January 30, 2003
IDS LIFE INSURANCE COMPANY
December 2, 2002 - January 30, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
June 26, 2001 - October 29, 2002
NATIONAL FINANCIAL SERVICES LLC
June 1, 1998 - June 26, 2001
FIDELITY DISTRIBUTORS COMPANY 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 3/1/2008
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.
