Brian J. Bourdon
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.
Brian Justin Bourdon, who also goes by Brian J Bourdon, Brian Bourdon, Brian Justin Bourdon, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1998. Brian had worked at 16 firms and has passed the Series 63, Series 65, Series 6TO, SIE, 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
June 27, 2024 - October 6, 2025
WELLS FARGO CLEARING SERVICES, LLC
June 27, 2024 - October 6, 2025
WELLS FARGO CLEARING SERVICES, LLC
June 9, 2022 - October 31, 2023
TRUIST ADVISORY SERVICES, INC.
June 9, 2022 - October 31, 2023
TRUIST INVESTMENT SERVICES, INC.
February 7, 2020 - June 6, 2022
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2020 - June 6, 2022
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2019 - December 12, 2019
EAGLE STRATEGIES LLC
February 13, 2019 - December 12, 2019
NYLIFE SECURITIES LLC
September 10, 2018 - December 5, 2018
BRIDGEMARK WEALTH MANAGEMENT
January 30, 2017 - March 7, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 23, 2016 - March 7, 2018
SCOTTRADE, INC.
April 8, 2015 - November 6, 2016
CUNA BROKERAGE SERVICES, INC.
March 12, 2015 - November 7, 2016
CUNA BROKERAGE SERVICES, INC.
April 16, 2014 - February 6, 2015
OV CAPITAL
June 1, 2009 - March 1, 2010
ALLSTATE FINANCIAL SERVICES, LLC
September 10, 2008 - June 26, 2009
OV CAPITAL
February 14, 2007 - September 5, 2008
BAY CAPITAL ADVISORS, LLC
August 11, 2005 - February 12, 2007
FERRIS, BAKER WATTS, LLC
April 2, 2002 - February 12, 2007
FERRIS, BAKER WATTS, LLC
May 26, 2000 - October 24, 2001
TRUIST INVESTMENT SERVICES, INC.
June 11, 1999 - May 26, 2000
CRESTAR SECURITIES CORPORATION
April 5, 1999 - May 11, 1999
FIRST UNION BROKERAGE SERVICES, INC.
July 16, 1998 - February 26, 1999
FIRST UNION CAPITAL MARKETS CORP.
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 6TO
Date: 6/27/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
