Glenn R. Rudy
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.
Glenn R Rudy was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1975. Glenn had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 15, Series 3, Series 7, 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 1, 2016 - July 28, 2025
WELLS FARGO CLEARING SERVICES, LLC
September 1, 2016 - July 28, 2025
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2016 - September 2, 2016
OPPENHEIMER & CO. INC.
May 11, 2016 - September 2, 2016
OPPENHEIMER & CO. INC.
August 27, 2009 - May 12, 2016
WELLS FARGO CLEARING SERVICES, LLC
August 21, 2009 - May 12, 2016
WELLS FARGO CLEARING SERVICES, LLC
July 27, 2009 - July 27, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 17, 1995 - August 3, 2009
UBS FINANCIAL SERVICES INC.
December 15, 1981 - August 3, 2009
UBS FINANCIAL SERVICES INC.
May 28, 1980 - December 27, 1981
THOMSON MCKINNON SECURITIES INC.
November 26, 1979 - January 16, 1980
BOETTCHER & COMPANY, INC.
September 26, 1978 - May 28, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 12/27/1984
Foreign Currency Options ExaminationSeries 8
Date: 1/11/1984
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.
