Arnold H. Zarra
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.
Arnold Howard Zarra, who also goes by Skip Zarra, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1970. Arnold had worked at 13 firms and has passed the Series 63, Series 6, Series 7, Series 1, Series 24 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
May 8, 2001 - April 19, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 21, 1992 - December 5, 1997
J. B. HANAUER & CO.
February 4, 1992 - July 14, 1992
FIRST MADISON SECURITIES, INC.
August 30, 1988 - January 31, 1991
PFS INVESTMENTS INC.
November 17, 1981 - March 24, 1986
SEABOARD SECURITIES, INC.
September 14, 1979 - November 6, 1981
PRUDENTIAL EQUITY GROUP, LLC
June 25, 1979 - November 15, 1979
DONALD & CO. SECURITIES INC.
January 4, 1977 - March 10, 1977
SEABOARD SECURITIES, INC.
July 30, 1975 - July 9, 1977
VERAVEST INVESTMENTS, INC.
June 17, 1974 - October 8, 1975
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 23, 1973 - June 7, 1974
GLOBAL SECURITIES, INC.
February 7, 1972 - June 24, 1973
MAYFLOWER SECURITIES CO., INC.
April 20, 1971 - October 2, 1972
M. BERNSTEIN SECURITIES, INC.
October 12, 1970 - April 28, 1973
WALLSTREET INVESTORS 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
Series 1
Date: 3/22/1963
Registered Representative ExaminationSeries 00
Date: 9/29/1967
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 | 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.
