Jay Slovitt
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.
Jay Slovitt was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1968. Jay had worked at 7 firms and has passed the Series 63, Series 5, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2012 - March 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 13, 2012 - March 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2004 - April 23, 2012
UBS FINANCIAL SERVICES INC.
August 11, 1993 - November 15, 2004
MORGAN STANLEY DW INC.
May 22, 1989 - August 9, 1993
CITIGROUP GLOBAL MARKETS INC.
April 21, 1988 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 26, 1976 - March 4, 1988
J.P. MORGAN SECURITIES LLC
March 12, 1968 - May 15, 1976
HORNBLOWER & WEEKS - HEMPHILL, NOYES 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 5
Date: 10/29/1981
Interest Rate Options ExaminationPC
Date: 6/1/1977
AMEX Put and Call ExamSeries 1
Date: 3/8/1968
Registered Representative ExaminationSeries 40
Date: 12/16/1974
Registered Principal ExaminationSeries 12
Date: 8/1/1974
NYSE Branch Manager 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.
