Colleen Johnstone
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.
Colleen Johnstone, who also goes by Colleen Cavanagh Miss, Colleen Johnstone Ms, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 2004. Colleen had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2013 - April 1, 2025
WELLS FARGO CLEARING SERVICES, LLC
October 24, 2013 - April 1, 2025
WELLS FARGO CLEARING SERVICES, LLC
August 17, 2009 - July 19, 2011
SECURITIES AMERICA, INC.
April 20, 2009 - February 5, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
April 20, 2009 - February 5, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
April 2, 2007 - March 5, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - March 5, 2009
MORGAN STANLEY & CO. LLC
February 6, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
February 6, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
October 7, 2005 - November 16, 2005
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
August 3, 2005 - August 24, 2005
WADDELL & REED
April 4, 2005 - August 24, 2005
WADDELL & REED
April 28, 2004 - March 2, 2005
WAMU INVESTMENTS, 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.
