Steven R. Tomlinson
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.
Steven Robert Tomlinson, who also goes by Steve Tomlinson, was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1981. Steven had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 5, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2008 - July 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
June 27, 2005 - June 27, 2005
WALNUT STREET SECURITIES, INC.
June 27, 2005 - November 25, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 1, 2003 - June 27, 2005
WALNUT STREET SECURITIES, INC.
May 16, 2001 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
April 11, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
May 4, 1999 - March 23, 2001
ADVEST, INC.
February 11, 1995 - April 28, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 15, 1993 - January 27, 1995
MORGAN STANLEY DW INC.
February 15, 1988 - June 29, 1993
LEHMAN BROTHERS INC.
January 5, 1988 - February 15, 1988
E. F. HUTTON & COMPANY INC
February 19, 1982 - January 20, 1988
MORGAN STANLEY DW INC.
February 1, 1982 - March 12, 1982
J. S. BARR & CO., INC.
November 23, 1981 - December 15, 1981
CAREY & DUNCAN, INC.
February 9, 1981 - October 28, 1981
FORESTERS FINANCIAL SERVICES, 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 15
Date: 11/27/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 7/24/1992
General Securities Sales Supervisor Examination (Options Module & General Module)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.
