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Detailed Report
LUCY WILLIAMS THOMAS
LUCY GAINES WILLIAMS
CRD#: 1685458
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 200 STEPHENSON AVE
STE 301
SAVANNAH, GA 31405
Registration History
199019952000200520102015202020252 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - Present (8 years)BISFA CORPORATION (CRD# 12984)1987 - 1988 (<1 year)
Disclosure(s)
View By:
7/24/2015
Financial
Final
7/24/2015
Financial
Final
License(s)

State Registrations

B
Alabama 10/25/2016
B
New Jersey 3/7/2024
B
Arizona 4/29/2020
B
New York 3/12/2019
B
California 10/25/2016
B
North Carolina 10/25/2016
B
Colorado 12/9/2022
B
Ohio 6/16/2022
B
Florida 10/25/2016
B
Pennsylvania 10/25/2016
B
Georgia 10/25/2016
B
Puerto Rico 7/4/2022
IA
Georgia 10/25/2016
B
South Carolina 10/25/2016
B
Hawaii 6/22/2022
B
Tennessee 10/25/2016
B
Kansas 1/30/2023
B
Texas 10/25/2016
B
Maryland 6/16/2022
IA
Texas 10/25/2016
B
Massachusetts 1/6/2025
B
Utah 4/22/2024
B
Michigan 10/25/2016
B
Virginia 10/25/2016
B
Mississippi 4/22/2024
B
Washington 4/22/2024
B
Missouri 6/16/2022

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
200 STEPHENSON AVE STE 301, SAVANNAH, GA 31405
5500 Frederica Road Suite 1215 [Office Of Convenience], St. Simons Island, GA 31522
Registered with this firm since 10/25/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
200 STEPHENSON AVE STE 301, SAVANNAH, GA 31405
5500 Frederica Road Suite 1215 [Office Of Convenience], St. Simons Island, GA 31522
Registered with this firm since 10/25/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/22/2015 - 10/18/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAINT SIMONS, GA
B
 08/20/2015 - 10/18/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAINT SIMONS, GA
B
 07/21/1987 - 06/07/1988 ISFA CORPORATION (CRD#:12984)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.