Lisa A. Amador
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 Anne Amador, who also goes by Lisa Anne Dutton, Lisa Anne Parisotto, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1985. Lisa had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2011 - February 11, 2025
WELLS FARGO CLEARING SERVICES, LLC
March 22, 2011 - February 11, 2025
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2001 - March 25, 2011
WELLS FARGO INVESTMENTS, LLC
June 15, 1999 - January 27, 2011
WELLS FARGO INVESTMENTS, LLC
May 6, 1996 - December 11, 1996
FIRST INTERSTATE INVESTMENTS,INC.
March 13, 1994 - May 2, 2001
WELLS FARGO SECURITIES INC.
July 5, 1991 - February 1, 1994
SUTRO & CO. INCORPORATED
September 4, 1990 - June 25, 1991
WELLS FARGO CLEARING SERVICES, LLC
October 24, 1986 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 12, 1985 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 23, 1985 - August 20, 1985
WEDBUSH SECURITIES 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
Series 8
Date: 3/21/1986
General Securities Sales Supervisor Examination (Options Module & General Module)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.
