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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_RES 2024-07-13
WA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2024-07-13
  • WA RA
    APPROVED
    Since 2011-01-03

Branch Locations

555 110Th Ave Ne 10Th Fl, Bellevue, WA 98004 • United States

460 Central Way, Kirkland, WA 98033 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Bellevue WA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Bellevue WA 11/2016 Present
Previous Registrations
  • 2010-09-15 → 2011-01-03
    Wells Fargo Investments, Llc
    Bellevue, WA
  • 2009-05-02 → 2009-07-30
    Chase Investment Services Corp.
    Mill Creek, WA
  • 2007-09-17 → 2009-05-02
    Wamu Investments, Inc.
    Mill Creek, WA
    Lynnwood, WA
  • 2006-09-28 → 2007-08-07
    Bellevue, WA
Other Businesses

MISTY COVE HOMEOWNERS ASSOCIATION; INV RELATED;RENTON,WA; TREASURER; START DATE: 03/25/2026; 3 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-13
  • S66 Uniform Combined State Law Examination
    2006-09-13
Other Names
  • Aleisha F Lucas
  • Aleisha F Lucas

View on SEC IAPD

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