J Lemoine Patty

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
IN	RA	APPROVED	2024-06-18
KY	RA	APPROVED	2005-07-11

IN RA
APPROVED

Since 2024-06-18
KY RA
APPROVED

Since 2005-07-11

Branch Locations

297 N Hubbards Ln 2Nd & 3Rd Fl, Louisville, KY 40207 • 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

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

05/2009 → 11/2016

Wells Fargo Advisors Llc

Louisville, KY
11/2016 → Present

Wells Fargo Clearing Services, Llc

Louisville, KY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-11-10
S63	Uniform Securities Agent State Law Examination	1985-02-27

S65 Uniform Investment Adviser Law Examination

1992-11-10
S63 Uniform Securities Agent State Law Examination

1985-02-27

Other Names

J.L. Patty

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews