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Norman Robert Lazarus

Wells Fargo Clearing Services, LLC

St. Louis, MO

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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
IL RA APPROVED 2019-12-11
  • IL RA
    APPROVED
    Since 2019-12-11

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103 • 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
Horace Mann Companies Springfield IL 03/2017 12/2017
Horace Mann Investors Inc. Springfield IL 03/2017 12/2017
Wells Fargo Clearing Services St Louis MO 11/2019 Present
Unemployed Springfield IL 12/2017 11/2019
Waddell & Reed Inc Overland Park KS 03/2011 03/2017
  • 03/2017 → 12/2017
    Horace Mann Companies
    Springfield, IL
  • 03/2017 → 12/2017
    Horace Mann Investors Inc.
    Springfield, IL
  • 11/2019 → Present
    Wells Fargo Clearing Services
    St Louis, MO
  • 12/2017 → 11/2019
    Unemployed
    Springfield, IL
  • 03/2011 → 03/2017
    Waddell & Reed Inc
    Overland Park, KS
Previous Registrations
  • 2017-04-03 → 2017-12-26
    Horace Mann Investors, Inc.
    Springfield, IL
  • 2011-03-24 → 2017-03-10
    Waddell & Reed
    Overland Park, KS
  • 2007-04-02 → 2009-12-16
    Hornor, Townsend & Kent, Llc
    Conshohocken, PA
  • 2003-06-18 → 2006-04-26
    Walnut Street Securities, Inc.
    St Louis, MO
    St. Louis, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-25
S63 Uniform Securities Agent State Law Examination 1990-10-12
  • S65 Uniform Investment Adviser Law Examination
    1997-04-25
  • S63 Uniform Securities Agent State Law Examination
    1990-10-12
Other Names
  • Rob Lazarus
  • Norman Robert Lazarus
  • Norman Lazarus

View on SEC IAPD

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