Clarence Seese
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.
Clarence Seese, who also goes by Clarence Irvin Seese, Herb Seese, was a registered financial professional .
Clarence is a previously registered financial professional and started their career in finance in 1980. Clarence had worked at 10 firms and has passed the Series 65, Series 63, SIE 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 24, 2021 - April 29, 2024
WELLS FARGO CLEARING SERVICES, LLC
September 23, 2021 - April 29, 2024
WELLS FARGO CLEARING SERVICES, LLC
June 3, 2014 - September 24, 2021
J.P. MORGAN SECURITIES LLC
June 2, 2014 - September 24, 2021
J.P. MORGAN SECURITIES LLC
June 28, 2006 - June 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 28, 2006 - June 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
April 1, 2003 - June 29, 2006
MORGAN STANLEY DW INC.
April 1, 2003 - June 29, 2006
MORGAN STANLEY DW INC.
June 18, 2002 - April 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2000 - April 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 1996 - January 7, 2000
GRUNTAL & CO., L.L.C.
July 31, 1993 - August 8, 1996
CITIGROUP GLOBAL MARKETS INC.
April 27, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
August 19, 1986 - April 10, 1992
UBS FINANCIAL SERVICES INC.
November 30, 1982 - August 29, 1986
PRUDENTIAL EQUITY GROUP, LLC
December 1, 1980 - January 18, 1983
BABBITT, MYERS & 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
Current 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.
