Xiangyu Y. Zhang
Professional summary
Xiangyu Yu Zhang was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Xiangyu is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Xiangyu had worked at 9 firms, which includes WELLS FARGO CLEARING SERVICES LLC, LPL FINANCIAL LLC, CETERA INVESTMENT ADVISERS LLC, CETERA INVESTMENT SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES INC., CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, WAMU INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2017 - January 7, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2017 - January 7, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 3, 2017 - July 7, 2017
LPL FINANCIAL LLC
March 2, 2017 - July 7, 2017
LPL FINANCIAL LLC
January 21, 2014 - February 28, 2017
CETERA INVESTMENT ADVISERS LLC
July 9, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
July 9, 2010 - February 28, 2017
CETERA INVESTMENT SERVICES LLC
October 23, 2009 - May 13, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - May 13, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 26, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 30, 2007 - October 7, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - October 7, 2008
CITIGROUP GLOBAL MARKETS INC.
July 27, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 7, 2005 - July 25, 2006
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 | 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.
