Anthony Dale Lapia

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	1996-05-22

TX RA
APPROVED

Since 1996-05-22

Branch Locations

18050 Saturn Ln Ste 220, Houston, TX 77058 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	League City	TX	05/2009	11/2016
Wells Fargo Clearing Services, Llc	League City	TX	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

League City, TX
11/2016 → Present

Wells Fargo Clearing Services, Llc

League City, TX

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-03-05

S63 Uniform Securities Agent State Law Examination

1987-03-05

Other Names

Tony Lapia

View on SEC IAPD