Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
LORI ANN WINFIELD
LORI A WINFIELD
CRD#: 4005144
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3540 S BOULEVARD ST STE 110
EDMOND, OK 73013
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2019 - Present (5 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2019 (6 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2012 (7 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1999 - 2005 (5 years)
Disclosure(s)
View By:
8/21/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 9/25/2019
B
Nevada 9/25/2019
B
Arizona 9/25/2019
B
New Hampshire 1/3/2023
B
Arkansas 9/25/2019
B
New Jersey 9/25/2019
B
California 9/25/2019
B
New Mexico 9/26/2019
B
Colorado 9/25/2019
B
New York 10/8/2019
B
Connecticut 9/26/2019
B
North Carolina 9/26/2019
B
Florida 9/25/2019
B
Ohio 11/14/2019
B
Georgia 9/25/2019
B
Oklahoma 8/12/2019
B
Illinois 9/26/2019
IA
Oklahoma 9/18/2019
B
Indiana 9/25/2019
B
Oregon 9/25/2019
B
Iowa 9/18/2020
B
Pennsylvania 9/25/2019
B
Kansas 9/25/2019
B
South Carolina 9/25/2019
B
Louisiana 9/25/2019
B
Tennessee 9/25/2019
B
Maryland 9/25/2019
B
Texas 8/12/2019
B
Massachusetts 5/8/2023
IA
Texas 9/18/2019
B
Michigan 6/23/2021
B
Utah 9/25/2019
B
Minnesota 9/26/2019
B
Virginia 9/25/2019
B
Mississippi 9/25/2019
B
Washington 9/25/2019
B
Missouri 10/4/2019
B
West Virginia 2/11/2025
B
Montana 9/26/2019
B
Wisconsin 9/25/2019

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, 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)
3540 S BOULEVARD ST STE 110, EDMOND, OK 73013
8115 PRESTON RD STE 300, DALLAS, TX 75225
Registered with this firm since 9/18/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3540 S BOULEVARD ST STE 110, EDMOND, OK 73013
8115 PRESTON RD STE 300, DALLAS, TX 75225
Registered with this firm since 8/12/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 10/01/2012 - 05/08/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) EDMOND, OK
B
 07/06/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) EDMOND, OK
B
 12/16/1999 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
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.