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Elizabeth Ann Allen

Wells Fargo Clearing Services, LLC

Fort Lauderdale, 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
TX RA APPROVED_RES 2015-07-16
FL RA APPROVED 2015-03-25
  • TX RA
    APPROVED_RES
    Since 2015-07-16
  • FL RA
    APPROVED
    Since 2015-03-25

Branch Locations

350 E Las Olas Blvd 19Th Fl [D3/F7-Rbo], Fort Lauderdale, FL 33301 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Fort Lauderdale FL 03/2015 11/2016
Wells Fargo Clearing Services, Llc Fort Lauderdale FL 11/2016 Present
Previous Registrations
  • 2013-10-22 → 2015-01-20
    Hsbc Securities (Usa) Inc.
    Fort Lauderdale, FL
  • 2010-03-30 → 2012-02-07
    Morgan Stanley
    Plantation, FL
  • 2009-10-23 → 2010-03-23
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Fort Lauderdale, FL
    Coral Springs, FL
    Oakland Park, FL
    Coral Springs, FL
    Oakland Park, FL
    Fort Lauderdale, FL
  • 2006-09-07 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Coral Springs, FL
    Coral Springs, FL
    Ft. Lauderdale, FL
    Oakland Park, FL
    Oakland Park, FL
    Fort Lauderdale, FL
    Oakland Park, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-31
S63 Uniform Securities Agent State Law Examination 2005-06-27
  • S65 Uniform Investment Adviser Law Examination
    2006-08-31
  • S63 Uniform Securities Agent State Law Examination
    2005-06-27
Other Names
  • Elizabeth Ann Graham
  • Elizabeth Ann Graham-Allen
  • Elizabeth A Allen

View on SEC IAPD

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