Guss J. Pappas
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.
Guss J Pappas, who also goes by Guss Pappas, was a registered financial professional .
Guss is a previously registered financial professional and started their career in finance in 2003. Guss had worked at 9 firms and has passed the Series 66, SIE, Series 31 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
April 3, 2013 - January 5, 2023
WELLS FARGO CLEARING SERVICES, LLC
April 2, 2013 - January 5, 2023
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - April 3, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 3, 2013
J.P. MORGAN SECURITIES LLC
January 13, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 22, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 13, 2009 - January 6, 2012
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - January 6, 2012
PNC WEALTH MANAGEMENT LLC
December 6, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
December 6, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
April 20, 2006 - September 25, 2006
CUNA BROKERAGE SERVICES, INC.
March 13, 2006 - September 25, 2006
CUNA BROKERAGE SERVICES, INC.
April 6, 2005 - February 21, 2006
COMERICA SECURITIES
April 6, 2005 - February 21, 2006
COMERICA SECURITIES
September 3, 2004 - April 18, 2005
AMERIPRISE ADVISOR SERVICES, INC.
January 6, 2004 - April 18, 2005
AMERIPRISE ADVISOR SERVICES, INC.
April 2, 2003 - December 18, 2003
MORGAN STANLEY DW 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
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 | 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.
