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Current Employers
&Partners

40 Burton Hills Blvd Suite 350, Nashville, TN 37215 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-04-25
  • IL RA
    APPROVED
    Since 2025-04-25

Branch Locations

7701 Forsyth Blvd. 8Th Floor, Clayton, MO 63105 • United States

650 Dundee Rd #330, Northbrook, IL 60062 • 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 Deerfield IL 01/2015 11/2016
Wells Fargo Clearing Services, Llc Deerfield IL 11/2016 04/2025
&Partners Nashville TN 04/2025 Present
Previous Registrations
  • 2015-01-16 → 2025-04-30
    Deerfield, IL
    Deerfield, IL
  • 2009-06-01 → 2015-01-27
    Riverwoods, IL
    Deerfield, IL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Riverwoods, IL
  • 2004-09-17 → 2007-04-02
    Morgan Stanley Dw Inc.
    Riverwoods, IL
    Riverwoods, IL
  • 2002-09-13 → 2004-09-01
    Osaic Fa, Inc.
    Chicago, IL
Other Businesses

TAIWANESE AMERICAN CHAMBER OF COMMERCE OF GREATER CHICAGO POSITION: PRESIDENT NATURE: PROMOTING BUSINESS DEVELOPMENT AND UNITING BUSINESS PEOPLE FROM TAIWAN AND NORTH AMERICA INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 3 START DATE: 07/01/2025 ADDRESS: CHICAGO, USA, United States DESCRIPTION: COORDINATING ANNUAL EVENTS OF THE ORGANIZATION TAIWANESE CHAMBERS OF COMMERCE OF NORTH AMERICA POSITION: VICE PRESIDENT NATURE: STRENGTHEN U. S. AND TAIWAN BUSINESS RELATIONS THROUGH THE INFORMATION SHARING AND NETWORKING BETWEEN MEMBERS INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: Potomac, MD 20854, USA, United States DESCRIPTION: PASSING THE INFORMATION TO THE CHICAGO CHAPTER COORDINATE CHICAGO CHAPTER WITH TCCNA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-05
  • S66 Uniform Combined State Law Examination
    2002-08-05
Other Names
  • Lisa Su
  • Chin-Hui Su

View on SEC IAPD

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