Everett J. Dearman
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.
Everett Justus Dearman III, who also goes by Everett J Dearman III, Everett Justus Dearman, was a registered financial professional .
Everett is a previously registered financial professional and started their career in finance in 2003. Everett had worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2014 - February 19, 2021
WELLS FARGO CLEARING SERVICES, LLC
December 5, 2014 - February 19, 2021
WELLS FARGO CLEARING SERVICES, LLC
April 24, 2014 - July 17, 2014
FSA INVESTMENT GROUP, LLC
July 28, 2011 - September 3, 2013
RAYMOND C. FORBES & CO., INC.
July 18, 2011 - August 29, 2013
NATIVEONE INSTITUTIONAL TRADING, LLC.
October 12, 2010 - July 13, 2011
CHASE INVESTMENT SERVICES CORP.
October 12, 2010 - July 13, 2011
CHASE INVESTMENT SERVICES CORP.
November 25, 2008 - January 15, 2010
CHASE INVESTMENT SERVICES CORP.
November 25, 2008 - January 15, 2010
CHASE INVESTMENT SERVICES CORP.
September 9, 2005 - November 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 2005 - November 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2003 - August 16, 2004
EDWARD JONES
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.
