Best Investors Account Sign in

Lisa C Patton

Wells Fargo Clearing Services, LLC

Danbury, CT

Claim This Profile
Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-04
CT RA APPROVED 2016-06-21
  • TX RA
    APPROVED_RES
    Since 2024-04-04
  • CT RA
    APPROVED
    Since 2016-06-21

Branch Locations

83 Wooster Hts Ste 401 Lee Farm Corporate Park, Danbury, CT 06810 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Danbury CT 07/2003 11/2016
Wells Fargo Clearing Services, Llc Danbury CT 11/2016 Present
Other Businesses

NOTARY PUBLIC; NOT INVESTMENT RELATED; DANBURY, CT; START DATE 4/22/93; LESS THAN 1 HR PER MONTH; 0 HRS DURING TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-06-21
S63 Uniform Securities Agent State Law Examination 2002-11-11
  • S66 Uniform Combined State Law Examination
    2016-06-21
  • S63 Uniform Securities Agent State Law Examination
    2002-11-11

View on SEC IAPD

More in Danbury, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor