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Detailed Report
LISA A TESTA
LISA ANNE AZZOLINO, LISA ANNE GONZALES
CRD#: 4140415
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1200 PITTSFORD VICTOR RD STE 100
PITTSFORD, NY 14534
Registration History
20002002200420062008201020122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2016 - Present (9 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2005 - 2008 (2 years)BADVEST, INC. (CRD# 10)2002 - 2005 (3 years)BRBC DAIN RAUSCHER INC. (CRD# 31194)2002 - 2002 (<1 year)BTUCKER ANTHONY INCORPORATED (CRD# 837)2000 - 2002 (2 years)
License(s)

State Registrations

B
Alabama 1/13/2021
B
New York 1/1/2008
B
Arizona 1/13/2021
IA
New York 7/18/2021
B
California 2/19/2009
B
North Carolina 2/20/2009
B
Colorado 1/4/2010
B
Ohio 1/5/2010
B
Florida 2/19/2009
B
Oklahoma 1/4/2016
B
Georgia 1/13/2021
B
Oregon 1/8/2010
B
Illinois 1/4/2010
B
Pennsylvania 2/19/2009
B
Indiana 1/13/2021
B
Rhode Island 3/5/2025
B
Maine 1/13/2021
B
South Carolina 2/19/2009
B
Maryland 2/19/2009
B
Tennessee 1/10/2025
B
Massachusetts 2/19/2009
B
Texas 2/19/2009
B
Michigan 11/16/2016
IA
Texas 3/30/2016
B
New Jersey 2/19/2009
B
Virginia 12/7/2009
IA
New Jersey 3/29/2016
B
Wisconsin 2/19/2009

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)
1200 PITTSFORD VICTOR RD STE 100, PITTSFORD, NY 14534
Registered with this firm since 3/29/2016
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1200 PITTSFORD VICTOR RD STE 100, PITTSFORD, NY 14534
Registered with this firm since 1/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/23/2005 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) PITTSFORD, NY
B
 07/26/2002 - 12/15/2005 ADVEST, INC. (CRD#:10) HARTFORD, CT
B
 03/09/2002 - 07/17/2002 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
B
 03/03/2000 - 03/09/2002 TUCKER ANTHONY INCORPORATED (CRD#:837) BOSTON, MA
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.