Jose A. Arvizu
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.
Jose Armando Arvizu was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1979. Jose had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 12, Series 53, Series 4, F04 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
January 3, 2011 - April 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - April 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 25, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 12, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 19, 1999 - November 12, 2001
WELLS FARGO SECURITIES, LLC
December 2, 1996 - October 15, 1997
INTERFIRST CAPITAL CORPORATION
October 2, 1992 - March 21, 1996
WM FUND SERVICES, INC.
March 21, 1991 - July 19, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 17, 1988 - May 14, 1990
FIRST IMPERIAL INVESTOR SERVICES, INC.
June 18, 1987 - September 22, 1988
THOMAS GREEN SECURITIES, INC.
November 19, 1985 - March 10, 1986
BA INVESTMENT SERVICES, INC.
March 22, 1983 - December 26, 1984
BA INVESTMENT SERVICES, INC.
November 28, 1981 - February 28, 1983
LPL FINANCIAL LLC
August 28, 1979 - July 27, 1981
JOSEPH SEBAG INCORPORATED
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 12
Date: 11/12/2002
NYSE Branch Manager ExaminationF04
Date: 12/15/1980
Financial Principal 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.
