William G. Rich
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.
William George Rich, who also goes by Bill Rich, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 3, PC, Series 1, Series 10, Series 9, Series 8 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2003 - January 17, 2023
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 17, 2023
WELLS FARGO CLEARING SERVICES, LLC
March 18, 1987 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 18, 1987 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 4, 1987 - March 23, 1987
PTX SECURITIES, LLC
August 8, 1986 - August 11, 1986
ZANE MAY SECURITIES INC.
July 18, 1985 - April 21, 1986
AUBURN SECURITIES CORPORATION
November 5, 1984 - March 20, 1985
EQUITY MANAGEMENT SECURITIES CORPORATION
November 25, 1981 - October 7, 1986
CAPSTONE SECURITIES CORPORATION
September 24, 1981 - July 12, 1982
MCNEIL SECURITIES CORPORATION
September 24, 1979 - September 11, 1981
HIGHLANDS SECURITIES CORPORATION
August 24, 1976 - November 24, 1981
ALL AMERICAN MANAGEMENT CORPORATION
December 4, 1974 - September 21, 1976
LFK INCORPORATED
July 24, 1974 - November 1, 1976
JOHNSTOWN CAPITAL SECURITIES CORPORATION
September 6, 1972 - August 20, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 3/30/1993
Foreign Currency Options ExaminationPC
Date: 4/27/1987
AMEX Put and Call ExamSeries 1
Date: 9/1/1972
Registered Representative ExaminationSeries 8
Date: 11/6/1989
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 | 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.
