Leon D. Ashner
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.
Leon Dov Ashner, who also goes by Leon D Ashner, was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 1971. Leon had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2017 - September 2, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 18, 2017 - September 2, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 19, 2009 - May 19, 2017
MORGAN STANLEY
November 13, 2009 - May 19, 2017
MORGAN STANLEY
March 19, 1999 - December 2, 2009
UBS FINANCIAL SERVICES INC.
March 19, 1999 - December 2, 2009
UBS FINANCIAL SERVICES INC.
February 22, 1989 - April 13, 1999
CIBC WORLD MARKETS CORP.
July 16, 1984 - February 27, 1989
FIRST MANHATTAN SECURITIES LLC
August 4, 1975 - March 10, 1978
J.P. MORGAN SECURITIES LLC
April 9, 1973 - November 3, 1975
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
March 25, 1971 - April 28, 1973
MACK, BUSHNELL & EDELMAN, INC.
March 22, 1971 - June 20, 1984
CIBC WORLD MARKETS CORP.
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
PC
Date: 2/28/1978
AMEX Put and Call ExamSeries 000
Date: 3/22/1971
General Securities Principal ExaminationSeries 1
Date: 3/22/1971
Registered Representative ExaminationCurrent 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.
