John G. Marakas
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.
John George Marakas III, who also goes by John George Marakas, John George Marakas III III, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 10 firms and has passed the Series 63, SIE, Series 1, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2009 - June 1, 2017
WELLS FARGO CLEARING SERVICES, LLC
September 29, 2009 - June 1, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - September 30, 2009
MORGAN STANLEY
June 1, 2009 - September 30, 2009
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 14, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
September 29, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
May 13, 1993 - September 2, 1998
UBS FINANCIAL SERVICES INC.
September 4, 1990 - May 19, 1993
WELLS FARGO CLEARING SERVICES, LLC
October 21, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 16, 1978 - November 5, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
December 5, 1975 - January 19, 1978
WHITE, WELD & CO. INCORPORATED
November 8, 1974 - January 19, 1976
SHEARSON HAYDEN STONE INC.
September 11, 1970 - November 8, 1974
HAYDEN STONE 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 1
Date: 8/9/1965
Registered Representative ExaminationSeries 8
Date: 2/3/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 11/15/1976
Registered Principal 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.
