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LACY JEANINE KLEIVE
LACY JEANINE JOHNSON, LACY J RICH, LACY JEANINE RICH
CRD#: 3274183
IA
B
WELLS FARGO ADVISORSCRD#: 19616 125 E INTENDENCIA ST
STE 200
PENSACOLA, FL 32502
STE 200
PENSACOLA, FL 32502
0
Disclosures
23
Years of Experience
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State Registrations
B
Arkansas 6/19/2020
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Louisiana 12/17/2007
B
California 11/18/2009
B
Massachusetts 6/19/2020
B
Florida 2/22/2012
B
Utah 6/19/2020
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Florida 2/23/2012
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 12/17/2007
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Registered with this firm since 12/17/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/10/2007 - 12/20/2007 | NEW ORLEANS, LA | |
B | 12/10/2007 - 12/20/2007 | NEW ORLEANS, LA | |
IA | 09/04/2006 - 08/02/2007 | ARLINGTON, TX | |
B | 08/07/2006 - 08/02/2007 | ARLINGTON, TX | |
B | 08/27/2003 - 08/08/2006 | DESTIN, FL | |
B | 12/03/2002 - 09/02/2003 | BOSTON, MA | |
B | 12/06/2001 - 10/24/2002 | ATLANTA, GA | |
B | 09/18/2000 - 09/18/2001 | SCOTTSDALE, AZ |
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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.
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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.