John E. Sterbenz
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.
John Edward Sterbenz, who also goes by John E Sterbenz, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 3, Series 5, Series 000, Series 1, Series 10, Series 9, Series 53, Series 24, Series 4 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 27, 2021 - January 9, 2026
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 9, 2026
WELLS FARGO CLEARING SERVICES, LLC
January 29, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 1, 1992 - February 1, 2002
CITIGROUP GLOBAL MARKETS INC.
July 10, 1987 - December 1, 1992
PRUDENTIAL EQUITY GROUP, LLC
August 12, 1975 - April 15, 1976
G A SAXTON & CO INC
December 28, 1972 - July 21, 1987
E. F. HUTTON & COMPANY INC
October 16, 1972 - September 2, 1975
EDWARDS & HANLY
April 21, 1972 - September 30, 1972
FORESTERS 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: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 000
Date: 12/28/1972
General Securities Principal ExaminationSeries 1
Date: 4/13/1972
Registered Representative ExaminationSeries 12
Date: 4/21/1980
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 | 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.
