Patrick W. Briggs
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.
Patrick William Briggs, who also goes by Patrick W Briggs, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1999. Patrick had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 31, SIE, Series 7, Series 6, Series 9, Series 10, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2021 - August 31, 2023
WELLS FARGO CLEARING SERVICES, LLC
November 29, 2021 - August 31, 2023
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2019 - May 12, 2021
LPL FINANCIAL LLC
December 17, 2019 - May 12, 2021
LPL FINANCIAL LLC
January 3, 2011 - November 13, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - November 13, 2019
WELLS FARGO CLEARING SERVICES, LLC
July 11, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 11, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 3, 2005 - July 13, 2007
TRUIST INVESTMENT SERVICES, INC.
January 3, 2005 - July 13, 2007
TRUIST INVESTMENT SERVICES, INC.
January 8, 2004 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
September 30, 2002 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
May 22, 2002 - September 30, 2002
INVEST FINANCIAL CORPORATION
May 24, 1999 - June 14, 2002
METROPOLITAN LIFE INSURANCE COMPANY
May 24, 1999 - June 14, 2002
MSI FINANCIAL 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 52TO
Date: 1/2/2023
Municipal 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.
