Charles W. Hill
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.
Charles William Hill II, who also goes by Charles William Hill, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 12 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 5, Series 7, Series 24, 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
October 12, 2010 - June 29, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2010 - June 29, 2021
WELLS FARGO CLEARING SERVICES, LLC
May 13, 2008 - October 12, 2010
WELLS FARGO INVESTMENTS, LLC
May 13, 2008 - October 12, 2010
WELLS FARGO INVESTMENTS, LLC
August 25, 1998 - March 27, 2008
CUNA BROKERAGE SERVICES, INC.
March 14, 1997 - January 26, 1998
AEGON USA SECURITIES INC.
January 31, 1996 - March 14, 1997
ALLSTATE FINANCIAL SERVICES, LLC
October 6, 1993 - January 31, 1996
MARKETING ONE SECURITIES, INC.
December 24, 1991 - May 28, 1993
INVEST FINANCIAL CORPORATION
November 1, 1990 - December 17, 1991
EMPIRE SECURITIES CORPORATION
June 26, 1987 - November 4, 1988
TITAN/VALUE EQUITIES GROUP, INC.
September 3, 1985 - June 19, 1986
GLOBALVEST SECURITIES, (USA), INC
March 10, 1982 - May 22, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1980 - January 27, 1982
E. F. HUTTON & COMPANY 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 7TO
Date: 3/20/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/20/2024
Operations Professional ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options 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 | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 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.
