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Eric W Lord

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_RES 2021-04-14
WA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2021-04-14
  • WA RA
    APPROVED
    Since 2011-01-03

Branch Locations

1819 Nw Market St, Seattle, WA 98107 • United States

Seattle, WA • United States

999 3Rd Ave [Wv-Rbo], Seattle, WA 98104 • 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 Lynnwood WA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Lynnwood WA 11/2016 Present
Previous Registrations
  • 2008-05-09 → 2011-01-03
    Wells Fargo Investments, Llc
    Seattle, WA
    Lynnwood, WA
    Lynnwood, WA
    Snohomish, WA
  • 2006-01-03 → 2008-05-12
    Key Investment Services Llc
    Tacoma, WA
    Tacoma, WA
    Auburn, WA
  • 2001-12-27 → 2005-12-31
    Keybanc Capital Markets Inc.
    Tacoma, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-05
S63 Uniform Securities Agent State Law Examination 1997-12-04
  • S65 Uniform Investment Adviser Law Examination
    1997-12-05
  • S63 Uniform Securities Agent State Law Examination
    1997-12-04

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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