Devorah Eckhart
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.
Devorah Eckhart, who also goes by Deborah Carol Eckhart, Devorah Carol Eckhart, Devorah Rosenberger Eckhart, Deborah Carol Rosenberger, was a registered financial professional .
Devorah is a previously registered financial professional and started their career in finance in 1981. Devorah had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 55, Series 25, Series 7, Series 14, Series 24, Series 10, Series 9 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
September 6, 2018 - October 5, 2020
WELLS FARGO SECURITIES, LLC
October 25, 2011 - May 16, 2018
BANCO DO BRASIL SECURITIES LLC
June 2, 2008 - October 10, 2011
SEAPORT SECURITIES CORP.
July 26, 2007 - October 10, 2008
EMPIRE EXECUTIONS, INC.
December 30, 1999 - August 3, 2004
THS SECURITIES CORP.
May 1, 1998 - June 22, 2007
EMPIRE EXECUTIONS, INC.
July 10, 1997 - May 20, 1998
DOMINARI SECURITIES LLC
May 5, 1997 - June 16, 1997
CITICORP SECURITIES SERVICES, INC.
May 16, 1985 - June 8, 1996
LADENBURG THALMANN & CO. INC.
July 20, 1981 - April 22, 1985
FLEET BROKERAGE SECURITIES, INC.
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: 7/8/2022
General Securities Representative ExaminationSeries 99TO
Date: 7/8/2022
Operations Professional ExaminationSeries 57TO
Date: 7/8/2022
Securities Trader ExamSeries 55
Date: 4/1/2009
Limited Representative-Equity Trader ExamSeries 25
Date: 3/17/1999
NYSE Trading Assistant ExaminationSeries 8
Date: 5/22/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
