John W. Matthews
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 W Matthews, who also goes by John William Matthews, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, PC, Series 5, Series 1, Series 8, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2011 - November 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 26, 2011 - November 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 15, 2010 - June 13, 2011
PNC MANAGED ACCOUNT SOLUTIONS, INC.
August 13, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
August 11, 2010 - June 13, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 15, 2000 - December 31, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - July 14, 2010
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - July 14, 2010
WELLS FARGO INVESTMENTS, LLC
April 16, 1998 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 3, 1996 - February 12, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
August 14, 1986 - December 18, 1995
RAUSCHER PIERCE REFSNES, INC.
June 23, 1982 - May 7, 1984
RAUSCHER PIERCE REFSNES, INC.
September 26, 1978 - June 20, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 5, 1969 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 10/16/1986
AMEX Put and Call ExamSeries 5
Date: 9/24/1981
Interest Rate Options ExaminationSeries 1
Date: 1/31/1969
Registered Representative ExaminationSeries 8
Date: 12/10/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
