Seamus M. Campbell
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.
Seamus Matthew Campbell was a registered financial professional .
Seamus is a previously registered financial professional and started their career in finance in 2000. Seamus had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2023 - May 7, 2024
WELLS FARGO CLEARING SERVICES, LLC
December 7, 2023 - May 7, 2024
WELLS FARGO CLEARING SERVICES, LLC
May 6, 2021 - November 7, 2023
VANGUARD ADVISERS, INC.
March 16, 2021 - November 7, 2023
VANGUARD MARKETING CORPORATION
July 9, 2019 - December 21, 2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 28, 2013 - July 19, 2018
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 28, 2013 - July 19, 2018
DELAWARE DISTRIBUTORS, L.P.
October 24, 2012 - January 9, 2013
HARRISDIRECT LLC
October 24, 2012 - January 9, 2013
E*TRADE SECURITIES LLC
May 9, 2012 - June 12, 2012
TD AMERITRADE, INC.
May 9, 2012 - June 12, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 30, 2012 - June 12, 2012
TD AMERITRADE, INC.
December 15, 2010 - March 25, 2011
FIDELITY BROKERAGE SERVICES LLC
June 23, 2008 - July 30, 2010
ALPS DISTRIBUTORS, INC.
June 1, 2007 - May 5, 2008
OLD MUTUAL INVESTMENT PARTNERS
March 29, 2004 - May 29, 2007
NATIONWIDE FUND DISTRIBUTORS LLC
October 11, 2000 - February 23, 2004
SEI INVESTMENTS DISTRIBUTION CO.
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 | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 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.
