Arthur W. Devonmille
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.
Arthur William Devonmille, who also goes by Arthur Devonmille, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1981. Arthur had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, 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 15, 2017 - February 25, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 13, 2017 - February 25, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 2, 2015 - August 21, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 2015 - August 21, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2011 - August 17, 2011
STONEX SECURITIES INC.
July 20, 2005 - September 14, 2010
CHARLES SCHWAB & CO., INC.
July 19, 2005 - September 14, 2010
CHARLES SCHWAB & CO., INC.
April 26, 2005 - June 16, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2005 - June 16, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 18, 2004 - December 2, 2004
SOUTHTRUST SECURITIES, LLC
May 13, 2004 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
November 7, 2000 - May 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 7, 2000 - May 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 11, 1989 - October 25, 2000
A. G. EDWARDS & SONS, INC.
February 15, 1988 - September 23, 1989
LEHMAN BROTHERS INC.
September 23, 1982 - February 15, 1988
E. F. HUTTON & COMPANY INC
November 20, 1981 - October 6, 1982
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 27, 1981 - August 12, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
April 27, 1981 - September 12, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
April 27, 1981 - September 12, 1981
IDS LIFE INSURANCE COMPANY
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 8
Date: 7/26/1991
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.
