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Shawna Rae Lockley

Wells Fargo Clearing Services, LLC

Hyannis, MA

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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 2013-01-25
CT RA APPROVED 2011-11-01
  • TX RA
    APPROVED_RES
    Since 2013-01-25
  • CT RA
    APPROVED
    Since 2011-11-01

Branch Locations

1513 Iyannough Rd 1St Fl Ste 3, Hyannis, MA 02601 • 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
Wells Fargo Advisors Llc Hyannis MA 10/2011 11/2016
Wells Fargo Clearing Services, Llc Hyannis MA 11/2016 Present
Previous Registrations
  • 2006-11-06 → 2011-05-26
    Osaic Institutions, Inc.
    West Tisbury, MA
    Edgartown, MA
    West Tisbury, MA
    Woods Hole, MA
    Vineyard Haven, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-31
  • S66 Uniform Combined State Law Examination
    2006-10-31
Other Names
  • Shawna Rae Gruber
  • Shawna Rae Coterel
  • Shawna Rae Schurr
  • Shawna Rae Dipetta

View on SEC IAPD

Other Firms

BEACON FINANCIAL PLANNING, INC
COMMONWEALTH FINANCIAL NETWORK
TGA CAPITAL MANAGEMENT
UBS FINANCIAL SERVICES INC.
MORGAN STANLEY
OSAIC WEALTH, INC.
OSAIC INSTITUTIONS, INC.
J.P. MORGAN SECURITIES LLC

Other Investors

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KELLI MARIE GREW
Kathleen Erin Kane
Joshua Wayne Coffey
Caden Scott Buckley
MICHAELA GREEN HERLIHY
KATHERINE DIMASCOLO

Other Offices

BEACON FINANCIAL PLANNING, INC · HYANNIS, MA
COMMONWEALTH FINANCIAL NETWORK · HYANNIS, MA
TGA CAPITAL MANAGEMENT · HYANNIS, MA
UBS FINANCIAL SERVICES INC. · HYANNIS, MA
MORGAN STANLEY · HYANNIS, MA
COMMONWEALTH FINANCIAL NETWORK · Hyannis, MA
OSAIC WEALTH, INC. · HYANNIS, MA
OSAIC INSTITUTIONS, INC. · HYANNIS, MA

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