Vinod Srinivasaraghavan
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.
Vinod Srinivasaraghavan, who also goes by VInod Krish Srinivasaraghavan, Vinod Srinivasaraghavan, Vinod Srinivasarghavan, was a registered financial professional .
Vinod is a previously registered financial professional and started their career in finance in 2013. Vinod had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86 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
September 30, 2024 - December 22, 2025
WELLS FARGO SECURITIES, LLC
January 26, 2024 - September 26, 2024
MIZUHO SECURITIES USA LLC
May 25, 2021 - November 21, 2023
BARCLAYS CAPITAL INC.
April 9, 2018 - April 1, 2021
OPPENHEIMER & CO. INC.
February 29, 2016 - March 1, 2018
CANACCORD GENUITY LLC
March 20, 2014 - February 16, 2016
LADENBURG THALMANN & CO. INC.
August 5, 2013 - September 27, 2013
SIDOTI & COMPANY, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current 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 |
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