Individual Firm
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J LEMOINE PATTY
J.L. PATTY
CRD#: 1297294
IA
B
WELLS FARGO ADVISORSCRD#: 19616 297 N HUBBARDS LN 2ND & 3RD FL
LOUISVILLE, KY 40207
LOUISVILLE, KY 40207
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1/24/2005
Customer Dispute
Settled
2/4/2003
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 11/7/2019
B
Maryland 4/25/2023
B
California 7/1/2003
B
Michigan 8/16/2021
B
Florida 7/1/2003
B
New York 11/9/2018
B
Georgia 12/3/2018
B
North Carolina 7/1/2003
B
Illinois 7/1/2003
B
Ohio 7/1/2003
B
Indiana 7/1/2003
B
South Carolina 8/3/2020
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Indiana 6/18/2024
B
Tennessee 7/28/2015
B
Kentucky 7/1/2003
B
Texas 7/1/2003
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Kentucky 7/11/2005
B
Wisconsin 7/1/2003
B
Louisiana 11/18/2022
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/11/2005
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Registered with this firm since 7/1/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/07/1989 - 07/01/2003 | NEW YORK, NY | |
B | 01/02/1987 - 06/13/1989 | ||
B | 09/24/1985 - 07/24/1986 | ||
B | 11/21/1984 - 03/12/1985 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.