Gary M. Dalzell
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.
Gary Michael Dalzell was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, PC, Series 1, Series 4 and Series 40 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 - June 24, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 24, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 26, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 4, 1999 - May 15, 2001
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
May 21, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
July 14, 1995 - May 15, 2001
NATCITY INVESTMENTS, INC.
May 16, 1988 - July 14, 1995
RAFFENSPERGER, HUGHES & CO., INC.
April 11, 1988 - July 14, 1988
LEHMAN BROTHERS INC.
January 23, 1980 - April 11, 1988
E. F. HUTTON & COMPANY INC
February 20, 1970 - February 18, 1980
THOMSON MCKINNON SECURITIES 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
Series 5
Date: 6/24/1986
Interest Rate Options ExaminationSeries 15
Date: 5/6/1986
Foreign Currency Options ExaminationPC
Date: 1/26/1980
AMEX Put and Call ExamSeries 1
Date: 8/7/1962
Registered Representative ExaminationSeries 40
Date: 1/30/1973
Registered Principal 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.
