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Detailed Report
THURMAN LEE WILLIS III
LEE WILLIS III, THURMAN L. WILLIS III, THURMAN LEE WILLIS, LEE LEE WILLIS III, LEE WILLIS III III…
CRD#: 4600337
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 315 HAWTHORNE LN
HAWTHORNE PROFESSIONAL PARK
ATHENS, GA 30606
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2009 - 2015 (6 years)2 FIRMS2015 - Present (9 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2009 (6 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2009 (6 years)
License(s)

State Registrations

B
Alabama 9/25/2015
B
Missouri 11/3/2018
B
California 9/25/2015
B
New Jersey 9/8/2021
B
Colorado 10/4/2024
B
New York 2/3/2023
B
Delaware 11/24/2020
B
North Carolina 9/25/2015
B
Florida 9/25/2015
B
Pennsylvania 8/5/2019
B
Georgia 9/25/2015
B
South Carolina 9/25/2015
IA
Georgia 9/25/2015
B
Tennessee 9/25/2015
B
Illinois 9/25/2015
B
Texas 9/25/2015
B
Louisiana 2/3/2023
IA
Texas 9/25/2015
B
Michigan 10/4/2024
B
Washington 9/25/2015
B
Mississippi 2/3/2023

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)
315 HAWTHORNE LN HAWTHORNE PROFESSIONAL PARK, ATHENS, GA 30606
Registered with this firm since 9/25/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
315 HAWTHORNE LN HAWTHORNE PROFESSIONAL PARK, ATHENS, GA 30606
Registered with this firm since 9/25/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 09/28/2015 MORGAN STANLEY (CRD#:149777) ATHENS, GA
B
 06/01/2009 - 09/28/2015 MORGAN STANLEY (CRD#:149777) ATHENS, GA
IA
 04/11/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ATHENS, GA
B
 11/14/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ATHENS, GA
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.