Keith Wright
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.
Keith Wright was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1999. Keith had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, 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
January 24, 2019 - August 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 24, 2019 - August 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
April 3, 2009 - August 2, 2018
QUESTAR ASSET MANAGEMENT, INC.
April 3, 2009 - August 2, 2018
QUESTAR CAPITAL CORPORATION
June 5, 2006 - March 31, 2009
WRIGHT FINANCIAL SERVICES
February 10, 2006 - January 2, 2008
OSAIC WEALTH, INC.
July 27, 2005 - February 23, 2006
ALLSTATE FINANCIAL SERVICES, LLC
July 5, 2005 - July 19, 2005
TRUIST INVESTMENT SERVICES, INC.
July 5, 2005 - July 19, 2005
TRUIST INVESTMENT SERVICES, INC.
April 14, 2005 - July 11, 2005
OSAIC WEALTH, INC.
January 14, 2005 - July 11, 2005
OSAIC WEALTH, INC.
October 13, 2003 - October 4, 2004
EQUITABLE ADVISORS, LLC
October 8, 2003 - October 4, 2004
EQUITABLE ADVISORS, LLC
June 17, 2003 - September 22, 2003
ALLSTATE FINANCIAL SERVICES, LLC
January 2, 2003 - July 30, 2003
OSAIC WEALTH, INC.
December 31, 2001 - December 20, 2002
UBS FINANCIAL SERVICES INC.
September 13, 2000 - December 20, 2002
UBS FINANCIAL SERVICES INC.
November 15, 1999 - May 16, 2000
IDS LIFE INSURANCE COMPANY
November 15, 1999 - May 16, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 1999 - May 5, 2000
FIRST UNION BROKERAGE SERVICES, INC.
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 7TO
Date: 7/11/2022
General Securities 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.
