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Lissette Figueroa

Wells Fargo Clearing Services, LLC

Purchase, NY

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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
NY RA APPROVED 2022-09-07
  • NY RA
    APPROVED
    Since 2022-09-07

Branch Locations

2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • 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
Ubs Financial Services Inc. New York NY 07/2016 12/2021
Wells Fargo Clearing Services, Llc Purchase NY 05/2022 Present
Unemployed Stamford CT 01/2022 05/2022
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-28
S63 Uniform Securities Agent State Law Examination 2012-08-10
  • S66 Uniform Combined State Law Examination
    2015-09-28
  • S63 Uniform Securities Agent State Law Examination
    2012-08-10

View on SEC IAPD

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UBS FINANCIAL SERVICES INC.
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OTR GLOBAL LLC
JANNEY MONTGOMERY SCOTT LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
GREYWOLF CAPITAL MANAGEMENT LP
OLSTEIN CAPITAL MANAGEMENT, L.P.

Other Investors

JOSHUA BERNARD SANDBULTE
ERIC ALAN BICKLER
RYAN VINCENT HETZER
SIOBHAN BRADY
Anthony Joseph DiPerri
Michael Patrick Zazuri
DYLAN William WYNNE
ROB ANTONY SABEL

Other Offices

GREENHAVEN ASSOCIATES INC · PURCHASE, NY
UBS FINANCIAL SERVICES INC. · Purchase, NY
NOW ASSET MANAGEMENT LLC · PURCHASE, NY
OTR GLOBAL LLC · PURCHASE, NY
JANNEY MONTGOMERY SCOTT LLC · PURCHASE, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PURCHASE, NY
GREYWOLF CAPITAL MANAGEMENT LP · PURCHASE, NY
OLSTEIN CAPITAL MANAGEMENT, L.P. · PURCHASE, NY

More in Purchase, NY

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