Bruce Adam
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.
Bruce Adam was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1962. Bruce had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 8, Series 12, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2008 - September 6, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - September 6, 2019
WELLS FARGO CLEARING SERVICES, LLC
May 24, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
May 23, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
May 8, 2002 - May 22, 2006
CITIGROUP GLOBAL MARKETS INC.
May 28, 1996 - May 22, 2006
CITIGROUP GLOBAL MARKETS INC.
August 25, 1992 - May 16, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 26, 1988 - August 21, 1992
UBS FINANCIAL SERVICES INC.
January 22, 1980 - May 21, 1988
KIDDER, PEABODY & CO. INCORPORATED
December 19, 1979 - September 11, 1980
UBS FINANCIAL SERVICES INC.
November 13, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 12, 1976 - October 27, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 6, 1975 - January 19, 1976
LOEB RHOADES & CO
June 13, 1962 - March 19, 1980
EDWARDS & HANLY
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: 6/13/1962
Registered Representative ExaminationSeries 8
Date: 7/28/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 5/4/1985
NYSE Branch Manager ExaminationSeries 40
Date: 2/12/1973
Registered 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.
