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Adam Lyon

Wells Fargo Clearing Services, LLC

Walnut Creek, CA

Tarpon Springs, 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
CA RA APPROVED 2017-02-09
  • CA RA
    APPROVED
    Since 2017-02-09

Branch Locations

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • 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
Northern Trust San Francisco CA 01/2013 12/2016
Wells Fargo Clearing Services Walnut Creek CA 01/2017 Present
Wells Fargo Bank Walnut Creek CA 01/2017 Present
  • 01/2013 → 12/2016
    Northern Trust
    San Francisco, CA
  • 01/2017 → Present
    Wells Fargo Clearing Services
    Walnut Creek, CA
  • 01/2017 → Present
    Wells Fargo Bank
    Walnut Creek, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-12
S63 Uniform Securities Agent State Law Examination 1995-02-02
  • S65 Uniform Investment Adviser Law Examination
    2017-04-12
  • S63 Uniform Securities Agent State Law Examination
    1995-02-02
Other Names
  • Adam Wesley Lyon

View on SEC IAPD

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