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Lowell Thomas Diers

Wells Fargo Clearing Services, LLC

Seattle, WA

Seattle, WA

Seattle, WA

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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 2015-02-27
WA RA APPROVED 2012-03-30
  • TX RA
    APPROVED
    Since 2015-02-27
  • WA RA
    APPROVED
    Since 2012-03-30

Branch Locations

1600 Queen Anne Ave N, Seattle, WA 98109 • United States

999 3Rd Ave 40Th Fl [Wh/Wk-Rbo], Seattle, WA 98104 • United States

Seattle, WA • 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 Seattle WA 03/2012 11/2016
Wells Fargo Clearing Services, Llc Seattle WA 11/2016 Present
Previous Registrations
  • 2009-05-02 → 2012-03-30
    Chase Investment Services Corp.
    Seattle, WA
    Seattle, WA
    Seattle, WA
  • 2008-08-01 → 2009-05-02
    Wamu Investments, Inc.
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
  • 2006-01-03 → 2008-07-25
    Key Investment Services Llc
    Seattle, WA
    Tacoma, WA
  • 2005-11-17 → 2005-12-31
    Keybanc Capital Markets Inc.
    Seattle, WA
  • 2004-10-20 → 2005-11-22
    Banc Of America Investment Services, Inc.
    Seattle, WA
  • 2002-12-04 → 2004-10-20
    Quick & Reilly, Inc.
    Seattle, WA
  • 2000-09-25 → 2002-12-04
    Raymond James Financial Services, Inc.
    Bellevue, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-09-12
S63 Uniform Securities Agent State Law Examination 1998-07-28
  • S65 Uniform Investment Adviser Law Examination
    2000-09-12
  • S63 Uniform Securities Agent State Law Examination
    1998-07-28
Designations

View on SEC IAPD

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Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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