Charles H. Long
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.
Charles Harris Long JR, who also goes by Charles H. Long Jr., Charles H. Long, Charles H. "doc" Long Jr, Charles Long, Doc Long Jr, Doc Long, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 15, Series 7 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
January 1, 2008 - December 11, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - December 11, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 4, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 2, 1995 - January 3, 2008
A. G. EDWARDS & SONS, INC.
October 25, 1993 - May 23, 1995
WM FUND SERVICES, INC.
June 7, 1993 - October 20, 1993
NATIONSSECURITIES
January 25, 1993 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 10, 1991 - May 27, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1990 - June 12, 1991
WELLS FARGO CLEARING SERVICES, LLC
August 16, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
July 13, 1987 - August 17, 1989
DELAWARE DISTRIBUTORS, L.P.
January 16, 1986 - July 7, 1987
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 7, 1979 - January 9, 1986
A. G. EDWARDS & SONS, INC.
September 17, 1975 - November 10, 1979
E. F. HUTTON & COMPANY INC
November 20, 1974 - September 25, 1975
A. G. EDWARDS & SONS, 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: 10/25/1984
Foreign Currency Options ExaminationSeries 8
Date: 10/3/1981
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 | 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.
