Keith R. Dull
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.
Keith Randall Dull, CPWA® was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1979. Keith had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 15, Series 3, 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
Start date: 2008-05-02
Expire date: 2024-04-30
Experience
January 16, 2015 - March 7, 2023
WELLS FARGO CLEARING SERVICES, LLC
January 16, 2015 - March 7, 2023
WELLS FARGO CLEARING SERVICES, LLC
January 2, 2013 - January 27, 2015
BB&T SECURITIES, LLC
January 2, 2013 - January 27, 2015
BB&T SECURITIES, LLC
September 14, 2004 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
September 10, 2004 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
July 1, 2002 - September 13, 2004
TRUIST SECURITIES, INC.
July 1, 2002 - September 13, 2004
TRUIST SECURITIES, INC.
January 16, 2001 - July 11, 2002
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - July 11, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
November 2, 1988 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
April 25, 1983 - November 29, 1988
PRUDENTIAL EQUITY GROUP, LLC
May 24, 1979 - May 31, 1983
FIRST UNION CAPITAL 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
Series 15
Date: 7/1/1985
Foreign Currency Options ExaminationSeries 8
Date: 7/17/1991
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.
