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Lois Shirleen Joha

Wells Fargo Investment Institute, Inc.

Denver, CO

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Current Employers
Wells Fargo Investment Institute, Inc.

550 South Tryon Street 40Th Floor, Charlotte, NC 28202 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2021-12-20
  • CO RA
    APPROVED
    Since 2021-12-20

Branch Locations

1700 Lincoln St Floor 10, Denver, CO 80203-4500 • 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 Investment Institute, Inc Denver CO 02/2007 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-12-18
S63 Uniform Securities Agent State Law Examination 2001-12-28
  • S65 Uniform Investment Adviser Law Examination
    2021-12-18
  • S63 Uniform Securities Agent State Law Examination
    2001-12-28
Other Names
  • Lois S Thomas

View on SEC IAPD

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