Salvatore D'alessandro
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.
Salvatore D'alessandro, who also goes by Salvatore Dalessandro, was a registered financial professional .
Salvatore is a previously registered financial professional and started their career in finance in 1973. Salvatore had worked at 11 firms and has passed the Series 65, Series 63, Series 5, PC, Series 000, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - June 2, 2014
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2000 - August 14, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 11, 1999 - May 7, 2001
WELLS FARGO SECURITIES INC.
September 7, 1993 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 14, 1992 - August 31, 1993
CITICORP INVESTMENT SERVICES
March 20, 1992 - May 13, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 4, 1990 - January 21, 1991
WELLS FARGO CLEARING SERVICES, LLC
June 12, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 16, 1988 - July 29, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
December 10, 1979 - October 4, 1988
LEHMAN BROTHERS INC.
March 23, 1978 - January 7, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
May 10, 1973 - April 18, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 5/25/1977
AMEX Put and Call ExamSeries 000
Date: 5/5/1973
General Securities Principal ExaminationSeries 1
Date: 5/5/1973
Registered Representative ExaminationSeries 12
Date: 6/25/1977
NYSE Branch Manager 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.
