Kevin M. Beahan
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.
Kevin Michael Beahan, who also goes by Kevin M Beahan, Kevin Beahan, Kevin Michael Beahan, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2004. Kevin had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, 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
January 11, 2024 - August 7, 2024
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2022 - December 5, 2022
MERIDIAN WEALTH MANAGEMENT, LLC
March 8, 2021 - May 16, 2022
SOUTHPORT CAPITAL
June 22, 2018 - March 4, 2021
EDWARD JONES
June 22, 2018 - March 4, 2021
EDWARD JONES
July 28, 2014 - February 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2014 - February 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 2014 - June 26, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2013 - June 26, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 2011 - October 22, 2013
CREDIT SUISSE SECURITIES (USA) LLC
October 5, 2010 - April 26, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - July 1, 2010
EDWARD JONES
August 13, 2007 - April 16, 2008
CHASE INVESTMENT SERVICES CORP.
May 29, 2007 - August 20, 2007
CITIGROUP GLOBAL MARKETS INC.
April 18, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 23, 2004 - February 4, 2005
S.W. BACH & COMPANY
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 7TO
Date: 1/11/2024
General Securities Representative 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.
