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Lisa Michele Cartee Monsour

Wells Fargo Clearing Services, LLC

Roseville, CA

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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 2020-02-26
CA RA APPROVED 2020-02-11
  • TX RA
    APPROVED
    Since 2020-02-26
  • CA RA
    APPROVED
    Since 2020-02-11

Branch Locations

1512 Eureka Rd Ste 300 [Kc-Rbo], Roseville, CA 95661 • 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 Roseville CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Roseville CA 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-02-11
S63 Uniform Securities Agent State Law Examination 1999-03-10
  • S65 Uniform Investment Adviser Law Examination
    2020-02-11
  • S63 Uniform Securities Agent State Law Examination
    1999-03-10
Other Names
  • Lisa Cartee Monsour
  • Lisa Michele Cartee
  • Lisa Michele Cartee

View on SEC IAPD

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