Edward A. Spehar
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.
Edward Allen Spehar SR., who also goes by A Spehar Sr, Edward Allen Spehar, was a registered financial advisor .
Edward is a previously registered financial advisor and started their career in finance in 1970. Edward had worked at 9 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2002 - July 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 6, 2002 - July 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
November 5, 1999 - November 13, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1999 - November 13, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 1990 - October 12, 1999
RAYMOND JAMES & ASSOCIATES, INC.
April 11, 1988 - March 12, 1990
LEHMAN BROTHERS INC.
April 5, 1984 - January 27, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 1981 - March 27, 1984
MORGAN STANLEY DW INC.
February 26, 1981 - June 4, 1981
CITIGROUP GLOBAL MARKETS INC.
November 28, 1979 - February 26, 1981
MORGAN STANLEY DW INC.
September 25, 1975 - August 9, 1979
BUTCHER & SINGER INC.
May 16, 1973 - November 2, 1975
MERICKA & CO., INC.
September 10, 1970 - May 18, 1973
SCHREIBER BOSSE & 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
PC
Date: 10/4/1983
AMEX Put and Call ExamSeries 1
Date: 3/17/1966
Registered 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.
