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Lisa F Thompson

Wells Fargo Clearing Services, LLC

Winter Springs, FL

Winter Park, FL

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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
FL RA APPROVED 2000-10-01
  • FL RA
    APPROVED
    Since 2000-10-01

Branch Locations

5600 Red Bug Lake Rd, Winter Springs, FL 32708 • United States

480 N Orlando Ave Ste C220 [F2-Rbo], Winter Park, FL 32789 • 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
Wachovia Bank, N.A. Winter Springs FL 06/2002 Present
Wells Fargo Advisors Llc Winter Springs FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Winter Springs FL 11/2016 Present
  • 06/2002 → Present
    Wachovia Bank, N.A.
    Winter Springs, FL
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Winter Springs, FL
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Winter Springs, FL
Other Businesses

RENTAL PROPERTY, INV. RELATED, OVIEDO, FL. 100% OWNERSHIP WITH SPOUSE, START: 10/2/17, 0 HOURS/MONTH, LANDLORD.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-03-05
  • S63 Uniform Securities Agent State Law Examination
    1997-03-05
Other Names
  • Lisa F Barker

View on SEC IAPD

Other Firms

PLANMEMBER SECURITIES CORPORATION
EQUITABLE ADVISORS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRUIST ADVISORY SERVICES, INC.
J.P. MORGAN SECURITIES LLC
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
STATE FARM INVESTMENT MANAGEMENT CORP.
EDWARDS FINANCIAL SERVICES

Other Investors

MICHAEL STEPHEN BERZOVICH
ERIC CHARLES THARP
JUDAH-BEN ERNST
NIGEL ROHAN PERRYMAN
Carroll Clayton Matthews
Thomas N. LoBasso
Nelson Fernandez
Esteban R Rondon

Other Offices

PLANMEMBER SECURITIES CORPORATION · WINTER SPRINGS, FL
EQUITABLE ADVISORS, LLC · WINTER SPRINGS, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WINTER SPRINGS, FL
TRUIST ADVISORY SERVICES, INC. · CASSELBERRY, FL
TRUIST ADVISORY SERVICES, INC. · WINTER SPRINGS, FL
TRUIST ADVISORY SERVICES, INC. · WINTER SPRINGS, FL
J.P. MORGAN SECURITIES LLC · WINTER SPRINGS, FL
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER · OVIEDO, FL

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