Michael A. Meehan
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.
Michael Anthony Meehan, who also goes by Michael A Meehan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2023 - June 8, 2026
WELLS FARGO CLEARING SERVICES, LLC
April 14, 2023 - June 8, 2026
WELLS FARGO CLEARING SERVICES, LLC
May 18, 2022 - April 3, 2023
LPL FINANCIAL LLC
May 18, 2022 - April 3, 2023
LPL FINANCIAL LLC
May 29, 2019 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
May 29, 2019 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
January 4, 2017 - May 1, 2019
NAVY FEDERAL INVESTMENT SERVICES, LLC
September 8, 2007 - January 4, 2017
NAVY FEDERAL ASSET MANAGEMENT, LLC
August 27, 2007 - September 8, 2007
NAVY FEDERAL INVESTMENT SERVICES, LLC
August 27, 2007 - May 1, 2019
NAVY FEDERAL INVESTMENT SERVICES, LLC
May 13, 2003 - August 10, 2007
SECURIAN FINANCIAL SERVICES, INC.
December 4, 2002 - August 10, 2007
SECURIAN FINANCIAL SERVICES, INC.
July 19, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
July 19, 2001 - November 4, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 14, 1999 - July 18, 2001
ROBERT W. BAIRD & CO. INCORPORATED
August 14, 1999 - July 18, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
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 | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 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.
