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Diane Mary Lassota-Carter

Wells Fargo Clearing Services, LLC

Oakhurst, NJ

Bayville, NJ

CRD 3155119

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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
NJ RA APPROVED 2021-07-15
  • NJ RA
    APPROVED
    Since 2021-07-15

Branch Locations

1600 Highway 35 And Deal Rd [J6/J9-Rbo], Oakhurst, NJ 07755 • United States

450 Atlantic City Blvd, Bayville, NJ 08721 • 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
Wachovia Bank, N.A. Whiting NJ 06/2002 Present
Wells Fargo Advisors Llc Forked River NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Forked River NJ 11/2016 Present
  • 06/2002 → Present
    Wachovia Bank, N.A.
    Whiting , NJ
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Forked River, NJ
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Forked River, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-07-12
S63 Uniform Securities Agent State Law Examination 1998-12-16
  • S66 Uniform Combined State Law Examination
    2021-07-12
  • S63 Uniform Securities Agent State Law Examination
    1998-12-16
Other Names
  • Diane Lassota
  • Diane Mary Lassota

View on SEC IAPD

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