Lisa S. Decarlo
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 Sabrina Decarlo, who also goes by Lisa Decarlo Adams, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1995. Lisa had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2010 - April 8, 2011
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
August 12, 2008 - March 23, 2015
WELLS FARGO SECURITIES, LLC
April 9, 2003 - June 18, 2008
BANC OF AMERICA SECURITIES LLC
October 1, 1999 - February 3, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 21, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
October 25, 1996 - May 22, 1997
BANC OF AMERICA SECURITIES LLC
March 13, 1995 - November 11, 1996
BNP PARIBAS PRIME BROKERAGE, 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
Current Firm
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
CRD#: 5958 / SEC#: , 8-16600
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO GAMING CAPITAL, LLC. | PARENT | |
| ALTAMURA, VINCENT | SECRETARY | 5794473 |
| DEROCHI, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER | 2072858 |
| HIGHUM, JON ALAN | PRESIDENT | 1848219 |
| MULLINS, TIMOTHY PAUL | DIRECTOR | 1591930 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER | 724703 |
| PRIMAVERA, TODD GERALD | CHIEF OPERATIONS OFFICER | 2416001 |
| WEISS, JONATHAN GEOFFREY | DIRECTOR | 2362764 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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