Lisa R Forby

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2015-01-08
IL	RA	APPROVED	2014-01-14

TX RA
APPROVED

Since 2015-01-08
IL RA
APPROVED

Since 2014-01-14

Branch Locations

1401 Financial Park, Carbondale, IL 62902 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Carbondale	IL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Carbondale	IL	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Carbondale, IL
11/2016 → Present

Wells Fargo Clearing Services, Llc

Carbondale, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-01-13
S63	Uniform Securities Agent State Law Examination	2012-06-14

S65 Uniform Investment Adviser Law Examination

2014-01-13
S63 Uniform Securities Agent State Law Examination

2012-06-14

Other Names

Lisa Rene Cruse
Lisa Rene' Cruse
Lisa R Forby - Cruse
Lisa R Forby-Cruse