Carol G. Thomas
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.
Carol Glock Thomas, who also goes by Carol Ann Clock, Carol Glock Eddy, Carol Eddy, Carol A Glock, Carol Ann Glock, Carol G Thomas, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1978. Carol had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2014 - July 31, 2024
WELLS FARGO CLEARING SERVICES, LLC
February 12, 2014 - July 31, 2024
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - February 21, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - February 21, 2014
J.P. MORGAN SECURITIES LLC
April 22, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 21, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 13, 2005 - March 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 2005 - March 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 1985 - June 28, 2005
THOMAS FINANCIAL SERVICES, INC.
November 19, 1984 - December 6, 1984
GOODMAN SECURITIES, INC.
October 12, 1983 - October 19, 1984
EQUITY SEARCH SECURITIES, INC.
October 3, 1980 - October 11, 1983
ROTAN MOSLE INC.
November 1, 1978 - November 3, 1980
BOETTCHER & COMPANY, 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
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.
