Daryl M. Durell
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.
Daryl M Durell, who also goes by Daryl Matthew Durell, was a registered financial professional .
Daryl is a previously registered financial professional and started their career in finance in 1999. Daryl had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2023 - November 21, 2023
WELLS FARGO CLEARING SERVICES, LLC
April 18, 2023 - November 21, 2023
WELLS FARGO CLEARING SERVICES, LLC
November 24, 2014 - May 19, 2021
DATATEX INVESTMENT SERVICES INC
November 24, 2014 - May 4, 2015
K. W. CHAMBERS & CO.
May 16, 2013 - March 31, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 10, 2013 - March 31, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 22, 2008 - May 6, 2013
STANCORP INVESTMENT ADVISERS, INC.
January 22, 2008 - May 6, 2013
STANCORP EQUITIES, INC.
March 20, 2007 - January 2, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 20, 2007 - January 2, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 14, 2005 - February 28, 2007
PRINCIPAL SECURITIES, INC.
August 10, 2005 - February 28, 2007
PRINCIPAL SECURITIES, INC.
April 7, 2005 - July 20, 2005
ALLSTATE FINANCIAL SERVICES, LLC
January 13, 2000 - September 23, 2000
AETNA FINANCIAL SERVICES, INC.
October 21, 1999 - April 4, 2005
VOYA FINANCIAL PARTNERS, LLC
October 21, 1999 - April 4, 2005
VOYA FINANCIAL PARTNERS, LLC
October 13, 1999 - October 21, 1999
VOYA FINANCIAL PARTNERS, LLC
October 11, 1999 - October 26, 1999
AETNA 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 7TO
Date: 4/28/2023
General 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.
