Lisa K. Yocum
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 Kathryn Yocum, who also goes by Lisa Kathryn Garman, Lisa Kathryn Garman Yocum, Lisa Kathryn Garman Yocum, Lisa Yocum, Lisa Kathryn Yocum, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1996. Lisa had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2024 - December 4, 2025
WELLS FARGO CLEARING SERVICES, LLC
August 9, 2024 - December 4, 2025
WELLS FARGO CLEARING SERVICES, LLC
October 19, 2022 - February 2, 2024
OSAIC INSTITUTIONS, INC.
October 19, 2022 - February 2, 2024
OSAIC INSTITUTIONS, INC.
December 18, 2019 - October 25, 2022
WELLS FARGO CLEARING SERVICES, LLC
December 18, 2019 - October 25, 2022
WELLS FARGO CLEARING SERVICES, LLC
August 23, 2017 - May 3, 2018
PNC WEALTH MANAGEMENT LLC
August 23, 2017 - May 3, 2018
PNC WEALTH MANAGEMENT LLC
January 30, 2017 - May 11, 2017
SCOTTRADE, INC.
January 17, 2017 - May 11, 2017
SCOTTRADE INVESTMENT MANAGEMENT
August 11, 2014 - May 3, 2016
EQUITABLE ADVISORS, LLC
July 30, 2014 - May 3, 2016
EQUITABLE ADVISORS, LLC
March 19, 2013 - August 8, 2013
FIRST COMMAND BROKERAGE SERVICES, INC.
December 11, 2012 - August 8, 2013
FIRST COMMAND BROKERAGE SERVICES, INC.
November 10, 2010 - December 23, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
April 12, 2007 - April 8, 2009
HIGHLAND FINANCIAL, LTD.
October 7, 1998 - May 3, 2005
CHARLES SCHWAB & CO., INC.
August 23, 1996 - August 28, 1998
FIRST MONTAUK SECURITIES CORP.
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 | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 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.
