Alan M. Radoulovitch
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.
Alan M Radoulovitch, who also goes by Alan Michael Radoulovitch, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1998. Alan had worked at 10 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 7, 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
August 13, 2018 - February 26, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 13, 2018 - February 26, 2019
WELLS FARGO CLEARING SERVICES, LLC
May 1, 2015 - June 25, 2018
UBS FINANCIAL SERVICES INC.
April 30, 2015 - June 25, 2018
UBS FINANCIAL SERVICES INC.
September 9, 2013 - May 4, 2015
OPPENHEIMER & CO. INC.
September 4, 2013 - May 4, 2015
OPPENHEIMER & CO. INC.
May 30, 2012 - May 28, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 25, 2012 - May 28, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 20, 2012 - April 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 2012 - April 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2010 - November 1, 2010
FIDELITY DISTRIBUTORS COMPANY LLC
June 29, 2009 - January 28, 2010
VALIC FINANCIAL ADVISORS, INC.
June 22, 2009 - January 28, 2010
VALIC FINANCIAL ADVISORS, INC.
November 21, 2002 - June 15, 2009
STRATEGIC ADVISERS LLC
March 27, 2001 - June 15, 2009
FIDELITY BROKERAGE SERVICES LLC
June 23, 1999 - January 25, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 1998 - June 8, 1999
EDWARD JONES
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.
