Jamie Cariddi
Professional summary
Jamie Cariddi, who also goes by Jamie Hollender Cariddi, Jamie Forsythe Hollender, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York.
Jamie is registered as a RR (Registered Representative) and started their career in finance in 2001. Jamie has worked at 5 firms and has passed the Series 99TO, Series 79TO, SIE, Series 6, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jamie Cariddi's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2022 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 500 W 33rd St 30 Hudson Yards, New York, NY 10001May 25, 2021 - April 6, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2015 - May 26, 2021
WELLS FARGO SECURITIES, LLC
November 1, 2010 - January 7, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 2005 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
October 5, 2001 - December 31, 2003
BANC OF AMERICA SECURITIES LLC
August 8, 2001 - October 18, 2001
ALLIANCEBERNSTEIN INVESTMENTS, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 6/4/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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