WACHOVIA SECURITIES, INC.
CRD #431 SEC #801-33602 CHARLOTTE, NC 704-379-9000
SEC Registered Broker-Dealer
Total AUM
$1.2B
Discretionary
$165.6M
Employees
--
Clients
26
Accounts
4,529
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 10, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BERNADINO, MICHAEL ROBERT | I | CCO/MANAGING DIRECTOR | NA | |
| BULLARD, LORI JONAS | I | SROP/SENIOR VICE PRESIDENT | NA | |
| BULLARD, LORI JONAS | I | SROP/SENIOR VICE PRESIDENT | NA | |
| DALRYMPLE, EDWIN ARCHIBALD JR | I | PRESIDENT | NA | Control |
| FIRENZE, STEVEN ANTHONY | I | CROP | NA | |
| FIRENZE, STEVEN ANTHONY | I | CROP/CCO | NA | Control |
| FIRENZE, STEVEN ANTHONY | I | CROP/CCO | NA | Control |
| GIVENS, DALTON WYATT | I | SROP/SENIOR VICE PRESIDENT | NA | |
| HEARN, MICHAEL DEAN | I | CLO/SENIOR MANAGING DIRECTOR | NA | |
| HEARN, MICHAEL DEAN | I | CLO/SENIOR MANAGING DIRECTOR | NA | |
| HEARN, MICHAEL DEAN | I | CLO/SENIOR MANAGING DIRECTOR | NA | |
| KNIEJSKI, ROBERT STEVEN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KNIEJSKI, ROBERT STEVEN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KNIEJSKI, ROBERT STEVEN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MCLEAN, JOHN CLIFFORD JR | I | SENIOR VICE PRESIDENT | NA | Control |
| PEYTON, JOHN PETER | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PEYTON, JOHN PETER | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WAGSTAFF, CONNER FRED III | I | CFO | NA | Control |
| WILLIAMS, DOUGLAS LLOYD | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WILLIAMS, DOUGLAS LLOYD | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WACHOVIA CORPORATION | DE | PARENT COMPANY | E | Control |
| WACHOVIA CORPORATION | DE | PARENT COMPANY | E | Control |
| WACHOVIA CORPORATION | DE | PARENT COMPANY | E | Control |
Registrations
Federal
IA
Apr 10, 2002 REGISTERED
Notice Filings (32)
AL AR CA CT DC DE GA ID IL IN KS LA MA MD ME MN MO MT NC NH NV NY OK OR RI SC TN VA VT WA WI WV
Address
IJL FINANCIAL CENTER201 NORTH TRYON ST
CHARLOTTE, NC 28202
USA
Phone: 704-379-9000