James M. Csernica
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.
James Matthew Csernica, who also goes by James M. Csernica, James Csernica, Jim Csernica, James Matthew Csernica, Jim Matthew Csernica, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 11 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2024 - May 22, 2025
WELLS FARGO SECURITIES, LLC
June 8, 2017 - September 9, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 2017 - September 9, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2016 - March 4, 2016
LPL FINANCIAL LLC
March 30, 2015 - March 4, 2016
LPL FINANCIAL LLC
April 23, 2014 - December 12, 2014
EQUITABLE ADVISORS, LLC
November 22, 2013 - December 13, 2013
NEW ENGLAND SECURITIES
October 23, 2013 - December 13, 2013
MSI FINANCIAL SERVICES, INC.
October 23, 2013 - December 13, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
October 6, 2006 - September 24, 2013
WELLS FARGO CLEARING SERVICES, LLC
February 28, 2005 - August 4, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 28, 2005 - August 4, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 24, 2004 - February 17, 2005
STATE FARM VP MANAGEMENT CORP.
June 26, 2003 - April 16, 2004
PRUCO SECURITIES, LLC.
May 16, 2003 - April 16, 2004
PRUCO SECURITIES, LLC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
