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Detailed Report
LISA FLEISCHER SOMLO
LISA SUSAN FLEISCHER, LISA FLEISCHER, Lisa S Fleischer, Lisa Fleischer, Lisa S Fleischer Somlo…
CRD#: 1932536
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1380 PATRIOT BLVD
GLENVIEW, IL 60026
Registration History
199019952000200520102015202020252 FIRMS2016 - 2017 (1 year)2 FIRMS2018 - 2023 (5 years)2 FIRMS2023 - Present (1 year)BDISCOUNT CORPORATION OF NEW YO... (CRD# 13439)1989 - 1991 (2 years)IACOE CAPITAL MANAGEMENT, LLC (CRD# 112447)2014 - 2015 (1 year)
License(s)

State Registrations

B
California 7/10/2024
B
Ohio 7/10/2024
B
Florida 7/10/2024
B
Tennessee 7/10/2024
B
Illinois 8/16/2023
B
Texas 7/10/2024
IA
Illinois 8/16/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
1380 PATRIOT BLVD, GLENVIEW, IL 60026
Registered with this firm since 8/16/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1380 PATRIOT BLVD, GLENVIEW, IL 60026
Registered with this firm since 8/16/2023
Previous Registration(s)
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IA
 07/30/2018 - 08/06/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) DEERFIELD, IL
B
 07/30/2018 - 08/06/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) DEERFIELD, IL
IA
 03/31/2016 - 04/21/2017 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) SKOKIE, IL
B
 04/26/2016 - 04/21/2017 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) SKOKIE, IL
IA
 05/20/2014 - 11/20/2015 COE CAPITAL MANAGEMENT, LLC (CRD#:112447) DEERFIELD, IL
B
 07/18/1989 - 11/06/1991 DISCOUNT CORPORATION OF NEW YORK FUTURES (CRD#:13439)
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.