Soone Cham-taylor
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.
Soone Cham-taylor, who also goes by Soone Awet Cham Ms., Soone Awet Cham, Soone Cham Ms., Soone Cham, Soone Awet Cham-taylor, Soone Cham, was a registered financial professional .
Soone is a previously registered financial professional and started their career in finance in 2005. Soone had worked at 6 firms and has passed the Series 63, Series 57TO, Series 6TO, Series 52TO, Series 99TO, Series 22TO, Series 82TO, SIE, Series 55, Series 7, Series 14, Series 39, Series 26, Series 9 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 26, 2021 - January 6, 2025
WELLS FARGO SECURITIES, LLC
July 11, 2019 - April 16, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 6, 2014 - April 3, 2019
WELLS FARGO SECURITIES, LLC
August 6, 2012 - August 6, 2014
DEUTSCHE BANK SECURITIES INC.
June 4, 2010 - July 27, 2012
RBC CAPITAL MARKETS, LLC
March 3, 2009 - June 1, 2010
DEUTSCHE BANK SECURITIES INC.
September 22, 2008 - November 5, 2008
BARCLAYS CAPITAL INC.
January 31, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 55
Date: 11/21/2006
Limited Representative-Equity Trader ExamCurrent 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
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.
