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Mary Lumsden

Wells Fargo Advisors Financial Network, LLC

Brunswick, OH

Troy, OH

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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2024-04-01
  • OH RA
    APPROVED
    Since 2024-04-01

Branch Locations

50 Pearl Road Suite 216 [Satellite], Brunswick, OH 44212 • United States

51 S Stanfield Rd, Troy, OH 45373 • 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 Westlake OH 05/2009 11/2016
Wells Fargo Clearing Services, Llc Westlake OH 11/2016 04/2024
Wells Fargo Advisors Financial Network, Llc Brunswick OH 04/2024 Present
Previous Registrations
  • 2008-01-01 → 2024-04-01
    Wells Fargo Clearing Services, Llc
    Westlake, OH
    Westlake, OH
  • 2007-01-30 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Westlake, OH
    St. Louis, MO
  • 2005-10-07 → 2007-02-02
    Keybanc Capital Markets Inc.
    Cleveland, OH
    Cleveland, OH
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-03-10
S65 Uniform Investment Adviser Law Examination 1999-12-30
  • S63 Uniform Securities Agent State Law Examination
    2000-03-10
  • S65 Uniform Investment Adviser Law Examination
    1999-12-30
Other Names
  • Mary Frances Lumsden

View on SEC IAPD

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