Clifford A. Ingram
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.
Clifford Alan Ingram, who also goes by Cliff Ingram, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1976. Clifford had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 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 20, 2017 - June 23, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 20, 2017 - June 23, 2020
WELLS FARGO CLEARING SERVICES, LLC
August 4, 2010 - March 4, 2015
U.S. BANCORP INVESTMENTS, INC.
August 4, 2010 - March 3, 2015
U.S. BANCORP INVESTMENTS, INC.
June 26, 2007 - March 6, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
June 20, 2007 - March 6, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
August 15, 2002 - February 21, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 23, 2002 - February 21, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 28, 1986 - May 16, 2002
MORGAN STANLEY DW INC.
March 26, 1980 - December 8, 1986
DAIN RAUSCHER INCORPORATED
May 19, 1976 - January 17, 1980
AMERICAN EXPRESS FINANCIAL CORPORATION
May 19, 1976 - January 17, 1980
AMERIPRISE FINANCIAL SERVICES, LLC
May 19, 1976 - January 17, 1980
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 1
Date: 5/11/1976
Registered Representative ExaminationSeries 8
Date: 5/1/1989
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.
