Lindy K. Wallen
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.
Lindy Keith Wallen was a registered financial professional .
Lindy is a previously registered financial professional and started their career in finance in 1980. Lindy had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 5 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
January 3, 2011 - December 14, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - December 14, 2022
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
October 25, 1993 - May 2, 2001
WELLS FARGO SECURITIES INC.
April 20, 1992 - October 25, 1993
MARKETING ONE SECURITIES, INC.
December 23, 1991 - June 19, 1992
NYLIFE SECURITIES LLC
April 10, 1990 - May 7, 1991
GRIFFIN FINANCIAL SERVICES
October 31, 1988 - March 14, 1990
FPI FINANCIAL, INC.
October 31, 1988 - April 2, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 24, 1987 - November 18, 1987
PILAS SECURITIES, INC.
February 22, 1985 - November 24, 1986
LPL FINANCIAL LLC
July 22, 1983 - January 22, 1985
PRUDENTIAL EQUITY GROUP, LLC
April 25, 1980 - July 22, 1983
MORGAN STANLEY DW 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: 12/11/1982
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 | 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.
