Lauren P. Locke
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.
Lauren Patterson Locke, who also goes by Lauren Patterson, Penny Lauren Patterson, Penny Patterson, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 1994. Lauren had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 24 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
July 1, 2003 - February 1, 2019
WELLS FARGO SECURITIES, LLC
June 5, 2002 - July 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 5, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 26, 2000 - May 7, 2002
BANC OF AMERICA SECURITIES LLC
March 18, 1997 - May 28, 1998
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1995 - May 29, 1996
J.C. BRADFORD & CO.
March 14, 1994 - February 28, 1995
UBS FINANCIAL SERVICES INC.
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: 4/10/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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