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Tina Louise Wells Lee

LPl Financial LLC

Stockton, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-06-28
TX RA APPROVED 2021-06-28
  • CA RA
    APPROVED
    Since 2021-06-28
  • TX RA
    APPROVED
    Since 2021-06-28

Branch Locations

221 Tuxedo Court, Ste B, Stockton, CA 95204 • 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
First Allied Securities, Inc. San Diego CA 04/2010 06/2021
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 06/2021
Lpl Financial Llc Stockton CA 06/2021 Present
  • 04/2010 → 06/2021
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → 06/2021
    First Allied Advisory Services
    Schaumburg, IL
  • 06/2021 → Present
    Stockton, CA
Previous Registrations
  • 2020-11-12 → 2021-06-29
    Stockton, CA
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Stockton, CA
  • 2010-04-13 → 2012-07-02
    First Allied Securities, Inc.
    Stockton, CA
    San Diego, CA
  • 2008-01-01 → 2010-04-13
    Stockton, CA
  • 2001-03-30 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Stockton, CA
    Stockton, CA
    St. Louis, MO
Other Businesses

1)06/22/2021 - Tina Wells Lee & Associates - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 06/2021 - 140 Hr/Mth 2)06/22/2021 - Tina Lee Wells; Agent - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 06/2021 - 10 Hr/Mth 3)06/22/2021 - Real Estate Rental - Inv Rel - Stockton, CA - Start: 06/2021 - 2 Hr/Mth 4)06/22/2021 - TINA WELLS CONSULTING - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - At Reported Business Location(s) - Start: 06/2021

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-09-13
  • S63 Uniform Securities Agent State Law Examination
    1996-09-13
Designations
Other Names
  • Tina L Wells
  • Tina Louise Wells
  • L Tina Wells
  • Tina Louise Wellslee

View on SEC IAPD

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