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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
NY RA APPROVED 2021-07-18
TX RA APPROVED_RES 2016-08-16
  • NY RA
    APPROVED
    Since 2021-07-18
  • TX RA
    APPROVED_RES
    Since 2016-08-16

Branch Locations

400 Meridian Centre Blvd Ste 210, Rochester, NY 14618 • 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 Rochester NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Rochester NY 11/2016 Present
Other Businesses

HONCOYE FALLS LIMA HIGH SCHOOL DRAMA CLUB, HONEOYE FALLS, NY. THE TYPE OF BUSINESS OF THEATRICAL. HOLDS POSITION AS COSTUME CO-ORDINATOR. DUTIES ARE TO COORDINATE COSTUMES FOR HIGH SCHOOL DRAMA AND MUSICAL. WORKS VARIOUS HOURS PER MONTH AND 0 DURING SECURITIES TRADING HOURS. NOTARY PUBLIC; INVESTMENT RELATED; ROCHESTER, NY; NOTARIZE DOCUMENTS; START 1991; <1 HR PER MONTH <1 DURING TRADING. KOALA CLIPS, NOT INV RELATED, MENDON, NY, SEWER, START 10/25/24, 8 HRS PER MONTH, 0 HRS DURING TRADING, SEWING PRODUCT(PHONE POUCH FOR FEMALE RUNNERS);

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-03-19
  • S63 Uniform Securities Agent State Law Examination
    1986-03-19
Other Names
  • Lisa Marie Figur

View on SEC IAPD

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