Dudley G. Pearson
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.
Dudley Gatewood Pearson was a registered financial professional .
Dudley is a previously registered financial professional and started their career in finance in 1972. Dudley had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 1, Series 8, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2003 - August 23, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - August 23, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 14, 1988 - June 15, 2002
WACHOVIA SECURITIES, INC.
January 6, 1987 - June 7, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
March 9, 1983 - January 15, 1987
MORGAN KEEGAN & COMPANY, LLC
September 17, 1979 - March 8, 1983
LEHMAN BROTHERS INC.
January 18, 1978 - September 17, 1979
LOEB PARTNERS
January 18, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
January 12, 1974 - January 14, 1975
M IRBY & CO INC
December 26, 1972 - January 20, 1974
THE ROBINSON-HUMPHREY COMPANY, 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
Series 5
Date: 8/14/1984
Interest Rate Options ExaminationSeries 1
Date: 12/13/1972
Registered Representative ExaminationSeries 8
Date: 5/27/1983
General Securities Sales Supervisor Examination (Options Module & General Module)F04
Date: 1/16/1974
Financial Principal ExaminationSeries 00
Date: 1/16/1974
General Securities 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.
