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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
TX RA APPROVED 2023-04-10
  • TX RA
    APPROVED
    Since 2023-04-10

Branch Locations

6991 E Camelback Rd Ste D200, Scottsdale, AZ 85251 • 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
Eight Capital Corp. (Formerly Dundee Securities Inc.) Toronto 06/2017 07/2017
Eight Capital Toronto 02/2017 07/2017
Rbc Wealth Management Waterloo 11/2015 12/2016
Dundee Capital Partners Toronto 12/2016 02/2017
Wells Fargo Clearing Services, Llc Scottsdale AZ 10/2017 04/2023
Wells Fargo Advisors Financial Network, Llc Scottsdale AZ 04/2023 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-11-13
  • S63 Uniform Securities Agent State Law Examination
    2017-11-13
Other Names
  • Lisa Yawger

View on SEC IAPD

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