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Lori Ann Bagley

Wells Fargo Clearing Services, LLC

Quincy, IL

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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
TX RA APPROVED_RES 2011-04-26
IL RA APPROVED 2009-06-11
  • TX RA
    APPROVED_RES
    Since 2011-04-26
  • IL RA
    APPROVED
    Since 2009-06-11

Branch Locations

510 Maine St 9Th Fl, Quincy, IL 62301 • 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 Quincy IL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Quincy IL 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-02-07
S63 Uniform Securities Agent State Law Examination 1998-06-18
  • S65 Uniform Investment Adviser Law Examination
    2005-02-07
  • S63 Uniform Securities Agent State Law Examination
    1998-06-18
Other Names
  • Lori A Schulman
  • Lori A Bagley

View on SEC IAPD

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OSAIC WEALTH, INC. · QUINCY, IL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Quincy, IL
STIFEL, NICOLAUS & COMPANY, INCORPORATED · QUINCY, IL
THRIVENT INVESTMENT MANAGEMENT INC. · Quincy, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Quincy, IL

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