Lisa M. Avery
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lisa Millicent Avery was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1981. Lisa had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2015 - June 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2015 - June 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - July 20, 2015
MORGAN STANLEY
June 1, 2009 - July 20, 2015
MORGAN STANLEY
April 7, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 3, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 4, 2003 - April 15, 2009
UBS FINANCIAL SERVICES INC.
March 4, 2003 - April 15, 2009
UBS FINANCIAL SERVICES INC.
May 27, 2000 - March 12, 2003
CITIGROUP GLOBAL MARKETS INC.
April 7, 1999 - May 27, 2000
SCHRODER & CO. INC.
April 8, 1997 - March 22, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1990 - November 21, 1995
CITIGROUP GLOBAL MARKETS INC.
September 30, 1981 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 20, 1981 - March 8, 1990
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
