Colley B. Court
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.
Colley B Court, who also goes by Colley Bernard Court, Colley Court, was a registered financial professional .
Colley is a previously registered financial professional and started their career in finance in 2001. Colley had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2013 - September 20, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 8, 2013 - September 20, 2019
WELLS FARGO CLEARING SERVICES, LLC
October 30, 2012 - February 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 5, 2012 - February 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2010 - September 23, 2010
WADDELL & REED
August 26, 2010 - September 23, 2010
WADDELL & REED
September 1, 2009 - January 28, 2010
VALIC FINANCIAL ADVISORS, INC.
August 4, 2009 - January 28, 2010
VALIC FINANCIAL ADVISORS, INC.
May 21, 2009 - August 6, 2009
SIGNATOR INVESTORS, INC.
August 13, 2007 - April 16, 2009
ALLSTATE FINANCIAL SERVICES, LLC
January 5, 2007 - August 9, 2007
NYLIFE SECURITIES LLC
April 19, 2005 - December 5, 2006
1717 CAPITAL MANAGEMENT COMPANY
August 27, 2003 - December 5, 2006
NATIONWIDE SECURITIES, LLC
April 16, 2003 - June 19, 2003
PRUCO SECURITIES, LLC.
December 21, 2001 - June 19, 2003
PRUCO SECURITIES, LLC.
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.
