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Lindsay Michal Wales

Focus Advisor Solutions, LLC

St. Louis, MO

Sonora, CA

Focus Partners Wealth, LLC

Sonora, CA

St. Louis, MO

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Current Employers
Focus Advisor Solutions, Llc

190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-07-25
MO RA APPROVED 2021-11-01
  • CA RA
    APPROVED
    Since 2024-07-25
  • MO RA
    APPROVED
    Since 2021-11-01

Branch Locations

190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States

Sonora, CA • United States

Focus Partners Wealth, Llc

190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-07-25
  • CA RA
    APPROVED
    Since 2024-07-25

Branch Locations

Sonora, CA • United States

190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • 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 Clearing Services Llc St Louis MO 06/2018 09/2021
Wells Fargo Dealer Services Irving TX 05/2016 06/2018
University Of North Texas Denton TX 08/2014 05/2017
Buckingham Strategic Wealth, Llc Clayton MO 09/2021 Present
The Colony Group, Llc Boston MA 07/2024 Present
  • 06/2018 → 09/2021
    Wells Fargo Clearing Services Llc
    St Louis, MO
  • 05/2016 → 06/2018
    Wells Fargo Dealer Services
    Irving, TX
  • 08/2014 → 05/2017
    University Of North Texas
    Denton, TX
  • 09/2021 → Present
    Buckingham Strategic Wealth, Llc
    Clayton, MO
  • 07/2024 → Present
    The Colony Group, Llc
    Boston, MA
Previous Registrations
  • 2021-11-01 → 2024-06-28
    Buckingham Strategic Wealth, Llc
    St Louis, MO
    Concord, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-11-01
S63 Uniform Securities Agent State Law Examination 2018-11-20
  • S65 Uniform Investment Adviser Law Examination
    2021-11-01
  • S63 Uniform Securities Agent State Law Examination
    2018-11-20
Other Names
  • Lindsay Michal Harvey

View on SEC IAPD

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