Lucy Williams Thomas

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
GA	RA	APPROVED	2016-10-25
TX	RA	APPROVED	2016-10-25

GA RA
APPROVED

Since 2016-10-25
TX RA
APPROVED

Since 2016-10-25

Branch Locations

200 Plantation Chase Ste 9 [Office Of Convenience], St Simons Island, GA 31522 • United States

200 Stephenson Ave Ste 301, Savannah, GA 31405 • United States

Saint Simons Isla, GA • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Saint Simons Island	GA	12/2014	10/2016
Wells Fargo Advisors, Llc	Saint Simons Island	GA	10/2016	11/2016
Wells Fargo Clearing Services, Llc	Saint Simons Island	GA	11/2016	Present

12/2014 → 10/2016

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Saint Simons Island, GA
10/2016 → 11/2016

Wells Fargo Advisors, Llc

Saint Simons Island, GA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Saint Simons Island, GA

Previous Registrations

2015-10-22 → 2016-10-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Saint Simons Island, GA

Other Businesses

FORT FREDERICA ASSOCIATION, INV RELATED, ST. SIMONS ISLAND, GA, SECRETARY AND TREASURER, START 5/1/2023, .1 HOURS PER MONTH, ZERO HOURS DURING TRADING, TAKING MINUTES TREAUSERER IN NAME ONLY.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-14
S63	Uniform Securities Agent State Law Examination	1987-07-20

S66 Uniform Combined State Law Examination

2015-10-14
S63 Uniform Securities Agent State Law Examination

1987-07-20

Other Names

Lucy Gaines Williams

View on SEC IAPD