Richard T. Browne
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.
Richard Thomas Browne was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2014 - January 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
August 11, 2014 - January 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 12, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 12, 2014
WELLS FARGO CLEARING SERVICES, LLC
April 27, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 23, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 8, 2006 - May 7, 2010
WELLS FARGO CLEARING SERVICES, LLC
December 8, 2006 - May 7, 2010
WELLS FARGO CLEARING SERVICES, LLC
August 3, 2005 - November 3, 2006
WAMU INVESTMENTS, INC.
August 3, 2005 - November 3, 2006
WAMU INVESTMENTS, INC.
September 21, 2004 - August 2, 2005
CITICORP INVESTMENT SERVICES
September 21, 2004 - August 2, 2005
CITICORP INVESTMENT SERVICES
December 12, 2003 - October 4, 2004
IFMG SECURITIES, INC.
November 12, 2003 - October 4, 2004
IFMG SECURITIES, INC.
September 15, 2003 - October 21, 2003
ESSEX NATIONAL SECURITIES, LLC
April 9, 2001 - September 15, 2003
GATEWAY INVESTMENT SERVICES, INC.
January 28, 2000 - March 27, 2001
MORGAN STANLEY DW 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
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.
