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Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2014-05-02
TX RA APPROVED 2014-05-02
  • OH RA
    APPROVED
    Since 2014-05-02
  • TX RA
    APPROVED
    Since 2014-05-02

Branch Locations

9039 Antares Ave Ste H2, Columbus, OH 43240 • United States

Athens, OH • 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 Financial Network, Llc Columbus OH 05/2014 Present
Previous Registrations
  • 2008-09-02 → 2014-05-02
    Columbus, OH
  • 2006-09-27 → 2008-09-03
    J.P. Morgan Securities Inc.
    Columbus, OH
  • 2002-08-12 → 2006-09-27
    Banc One Securities Corporation
    Columbus, OH
    Columbus, OH
    Chicago, IL
Other Businesses

CO-TRUSTEE FOR RIVERS LIDKE FINANCIAL GROUP DBP, INV RELATED, COLUMBUS, OH, START: 5/1/2014, 160 HRS PER MONTH,6.5 HRS DURING TRADING,FINET PRACTICE. RIVERS LIDKE FINANCIAL GROUP, LLC; INV RELATED; COLUMBUS; OH; 20% OWNERSHIP; START: 5/1/2014; 160 HRS PER MONTH; 6.5 HRS DURING TRADING; FINET PRACTICE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-08
  • S66 Uniform Combined State Law Examination
    2002-08-08
Other Names
  • Lisa Ann Swankhouse
  • Lisa Ann Swankhouse

View on SEC IAPD

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