Curtis L. Coburn
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.
Curtis Leroy Coburn JR was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1976. Curtis had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, PC, Series 5, Series 3, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2012 - June 14, 2022
WELLS FARGO CLEARING SERVICES, LLC
September 7, 2012 - June 14, 2022
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - September 20, 2012
MORGAN STANLEY
June 1, 2009 - September 20, 2012
MORGAN STANLEY
March 14, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 31, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 12, 2004 - January 31, 2005
INVESTMENT PROFESSIONALS, INC.
March 20, 2003 - October 12, 2004
HIMCO DISTRIBUTION SERVICES COMPANY
October 10, 2002 - January 28, 2003
TOWER SQUARE SECURITIES, INC.
October 23, 2001 - October 10, 2002
THE LEADERS GROUP, INC.
July 31, 1993 - October 11, 2001
CITIGROUP GLOBAL MARKETS INC.
November 2, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
January 30, 1978 - August 14, 1986
STEPHENS
April 12, 1976 - February 19, 1978
SWINK & COMPANY, 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/11/1989
AMEX Put and Call ExamSeries 5
Date: 3/23/1988
Interest Rate Options ExaminationSeries 40
Date: 10/21/1977
Registered 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.
