Gerald R. Cronin
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.
Gerald Richard Cronin, who also goes by Jerry Cronin, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1972. Gerald had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, Series 72, SIE, Series 42, Series 000, Series 1, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2003 - August 3, 2023
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 3, 2023
WELLS FARGO CLEARING SERVICES, LLC
June 19, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 5, 1996 - April 17, 1996
ASIEL & CO. LLC
November 6, 1995 - November 16, 1995
FIRST INSTITUTIONAL SECURITIES, L.L.C.
May 10, 1995 - September 6, 1995
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 13, 1993 - April 28, 1995
CANTOR FITZGERALD SECURITIES
March 3, 1993 - April 28, 1995
MINT BROKERS
August 14, 1990 - February 11, 1993
FINANCIAL SQUARE PARTNERS
February 13, 1990 - September 11, 1990
O'CONNOR, PAUL & PHILLIPS, INC.
August 10, 1984 - February 13, 1990
MABON, NUGENT & CO.
May 18, 1983 - June 15, 1984
RUSSELL & CO
February 10, 1981 - April 29, 1983
BROUNOFF, CLAIRE & CO., INC.
January 29, 1975 - December 23, 1981
PURCELL GRAHAM INCORPORATED
April 30, 1974 - May 14, 1975
E. F. HUTTON & COMPANY INC
January 21, 1972 - May 2, 1974
FINANCIAL SQUARE PARTNERS
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 ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 42
Date: 5/17/2000
Registered Options Representative ExaminationSeries 000
Date: 1/20/1972
General Securities Principal ExaminationSeries 1
Date: 1/13/1972
Registered Representative 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 | 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.
