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Lisa Michelle Cargill

Wells Fargo Clearing Services, LLC

Philadelphia, PA

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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
PA RA APPROVED 2016-08-19
TX RA APPROVED_RES 2011-05-27
NJ RA APPROVED 2004-12-07
  • PA RA
    APPROVED
    Since 2016-08-19
  • TX RA
    APPROVED_RES
    Since 2011-05-27
  • NJ RA
    APPROVED
    Since 2004-12-07

Branch Locations

100 N 18Th St 22Nd Fl Two Logan Square, Philadelphia, PA 19103 • 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 Philadelphia PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Philadelphia PA 11/2016 Present
Previous Registrations
  • 2003-11-18 → 2004-02-09
    Quick & Reilly, Inc.
    Mantua, NJ
  • 2002-06-20 → 2003-10-03
    Morgan Stanley Dw Inc.
    Voorhees, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-30
S63 Uniform Securities Agent State Law Examination 1997-02-26
  • S65 Uniform Investment Adviser Law Examination
    1998-04-30
  • S63 Uniform Securities Agent State Law Examination
    1997-02-26
Other Names
  • Lisa M Ward
  • Lisa M Robson
  • Lisa Michelle Ward
  • Lisa Michelle Ward-Cargill

View on SEC IAPD

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Other Offices

GLENMEDE INVESTMENT MANAGEMENT, LP · PHILADELPHIA, PA
CLARK CAPITAL MANAGEMENT GROUP INC · PHILADELPHIA, PA
GLOBAL ADVISERS, LLC · PHILADELPHIA, PA
BIOPHY CAPITAL MANAGEMENT LLC · PHILADELPHIA, PA
VERITABLE FINANCIALS LLC · PHILADELPHIA, PA
CHARLES SCHWAB & CO., INC. · Philadelphia, PA
MORGAN STANLEY · Philadelphia, PA
J.P. MORGAN SECURITIES LLC · Philadelphia, PA

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