Jamie A. Stuart
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.
Jamie A Stuart, who also goes by Jamie Allyson Stuart, Jamie Stuart, was a registered financial professional .
Jamie is a previously registered financial professional and started their career in finance in 2007. Jamie had worked at 8 firms and has passed the Series 66, 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
October 19, 2015 - December 6, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 16, 2015 - December 6, 2017
WELLS FARGO CLEARING SERVICES, LLC
April 29, 2014 - February 4, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 29, 2014 - February 4, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 28, 2012 - July 8, 2013
STRATEGIC ADVISERS LLC
June 13, 2011 - July 8, 2013
FIDELITY BROKERAGE SERVICES LLC
October 11, 2010 - May 4, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 7, 2010 - May 4, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 13, 2009 - January 7, 2010
DATATEX INVESTMENT SERVICES INC
January 13, 2009 - December 31, 2009
K. W. CHAMBERS & CO.
July 9, 2008 - December 18, 2008
HUNTLEIGH ADVISORS, INC.
November 9, 2007 - December 18, 2008
HUNTLEIGH SECURITIES CORPORATION
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.
