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LISA ANN DUNCAN
LISA ABEND, LISA ANN THOMS
CRD#: 2611200
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 500 PLUM ST
BRIDGEWATER PLACE
SYRACUSE, NY 13204
Registration History
1995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2005 - Present (19 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2000 - Present (24 years)BFIRST ALBANY CORPORATION (CRD# 298)2000 - 2000 (<1 year)BMONY SECURITIES CORPORATION (CRD# 4386)1997 - 2000 (2 years)BFIRST ALBANY CORPORATION (CRD# 298)1995 - 1997 (1 year)
License(s)

State Registrations

IA
New Jersey 3/16/2005

IA
Ohio 10/13/2010

B
New York 8/5/2000

B
Washington 5/4/2020

IA
New York 7/22/2021

IA
Washington 5/13/2020

SRO Registrations

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Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
500 PLUM ST BRIDGEWATER PLACE, SYRACUSE, NY 13204
EAST SYRACUSE, NY
Registered with this firm since 3/16/2005

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
500 PLUM ST BRIDGEWATER PLACE, SYRACUSE, NY 13204
EAST SYRACUSE, NY
Registered with this firm since 8/5/2000

Previous Registration(s)
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02/02/2000 - 08/05/2000 FIRST ALBANY CORPORATION (CRD#:298) NEW YORK, NY
B
07/18/1997 - 02/09/2000 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
B
05/16/1995 - 01/03/1997 FIRST ALBANY CORPORATION (CRD#:298) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.