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Detailed Report
ALEISHA F. LUCAS
ALEISHA F LUCAS MS., ALEISHA F LUCAS
CRD#: 5142756
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 205 108TH AVE NE 6TH FL
BELLEVUE, WA 98004
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - Present (14 years)
Disclosure(s)
View By:
1/8/2025
Financial
Pending
5/26/2022
Financial
Final
5/10/2022
Financial
Final
1/14/2022
Financial
Final
12/25/2021
Financial
Final
9/30/2021
Financial
Final
License(s)

State Registrations

B
Alabama 1/28/2022
B
Nebraska 4/4/2023
B
Alaska 10/30/2018
B
Nevada 1/3/2011
B
Arizona 1/3/2011
B
New Hampshire 11/8/2024
B
Arkansas 7/9/2024
B
New Jersey 1/3/2011
B
California 1/3/2011
B
New Mexico 4/4/2023
B
Colorado 8/23/2019
B
New York 7/3/2019
B
Connecticut 1/3/2025
B
North Carolina 9/24/2014
B
Delaware 7/17/2024
B
North Dakota 7/15/2024
B
District of Columbia 4/19/2023
B
Ohio 5/13/2020
B
Florida 1/27/2011
B
Oklahoma 4/4/2023
B
Georgia 5/15/2015
B
Oregon 1/3/2011
B
Hawaii 1/11/2019
B
Pennsylvania 11/6/2024
B
Idaho 1/3/2011
B
Rhode Island 4/13/2023
B
Illinois 5/1/2023
B
South Carolina 11/6/2024
B
Indiana 12/20/2022
B
South Dakota 5/28/2021
B
Iowa 7/16/2024
B
Tennessee 4/4/2023
B
Kansas 4/25/2023
B
Texas 2/22/2011
B
Kentucky 4/1/2015
IA
Texas 7/13/2024
B
Louisiana 10/30/2024
B
Utah 4/5/2023
B
Maine 4/5/2023
B
Vermont 11/6/2024
B
Maryland 7/14/2023
B
Virginia 9/23/2014
B
Massachusetts 11/8/2019
B
Washington 1/3/2011
B
Michigan 12/10/2019
IA
Washington 1/3/2011
B
Minnesota 1/3/2011
B
West Virginia 1/6/2025
B
Mississippi 9/2/2020
B
Wisconsin 2/14/2017
B
Missouri 6/9/2016
B
Wyoming 4/19/2023
B
Montana 4/19/2023

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)
205 108TH AVE NE 6TH FL, BELLEVUE, WA 98004
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
205 108TH AVE NE 6TH FL, BELLEVUE, WA 98004
Registered with this firm since 1/3/2011
Previous Registration(s)
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IA
 09/15/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BELLEVUE, WA
B
 09/15/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) BELLEVUE, WA
IA
 05/02/2009 - 07/30/2009 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MILL CREEK, WA
B
 05/02/2009 - 07/30/2009 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MILL CREEK, WA
IA
 09/17/2007 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) MILL CREEK, WA
B
 09/17/2007 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) MILL CREEK, WA
IA
 09/28/2006 - 08/07/2007 AXA ADVISORS, LLC (CRD#:6627) BELLEVUE, WA
B
 09/28/2006 - 08/07/2007 AXA ADVISORS, LLC (CRD#:6627) BELLEVUE, WA
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.