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Lyndsey Dian Walters

Wells Fargo Clearing Services, LLC

Rockport, TX

Houston, TX

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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 2021-10-06
  • TX RA
    APPROVED
    Since 2021-10-06

Branch Locations

502 N Austin St, Rockport, TX 78382 • United States

1000 Louisiana St 7Th Fl [Tn/Td-Rbo], Houston, TX 77002 • 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 Bank, Na Portland TX 05/2011 09/2021
Wells Fargo Clearing Services, Llc Portland TX 06/2017 09/2021
Wells Fargo Bank, Na Rockport TX 05/2011 Present
Wells Fargo Clearing Services, Llc Rockport TX 09/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-12-04
S63 Uniform Securities Agent State Law Examination 2017-11-09
  • S65 Uniform Investment Adviser Law Examination
    2017-12-04
  • S63 Uniform Securities Agent State Law Examination
    2017-11-09
Other Names
  • Lyndsey Dian Walters

View on SEC IAPD

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