Michael D. Wilk
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.
Michael Dennis Wilk, who also goes by Micahel Dennis Wilk III, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1970. Michael had worked at 10 firms and has passed the Series 65, Series 63, Series 5, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2009 - July 11, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 25, 2009 - July 11, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 18, 2006 - June 30, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 21, 2001 - June 30, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 11, 1998 - May 24, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1994 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
March 1, 1994 - September 1, 1994
HAMILTON INVESTMENTS, INC.
August 7, 1987 - January 13, 1994
JOHN G. KINNARD AND COMPANY, INCORPORATED
April 22, 1982 - August 6, 1987
M. H. NOVICK & CO., INC.
January 20, 1978 - April 20, 1982
CITIGROUP GLOBAL MARKETS INC.
June 4, 1974 - January 26, 1978
THE MILWAUKEE COMPANY
May 8, 1973 - June 16, 1974
HAYDEN STONE INC.
November 25, 1970 - June 4, 1973
DUPONT WALSTON, INCORPORATED
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 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 1
Date: 8/3/1966
Registered Representative ExaminationSeries 00
Date: 12/9/1971
General Securities Principal 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 | 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.
