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Detailed Report
ALISON LEHMAN
ALISON E LEHMAN, ALISON ELIZABETH SHAW
CRD#: 6198338
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 380 POLARIS PKWY
STE 250
WESTERVILLE, OH 43082
Registration History
201620172018201920202021202220232024202520262 FIRMS2018 - 2019 (1 year)2 FIRMS2019 - Present (6 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2016 - 2017 (1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2017 - 2017 (<1 year)
License(s)

State Registrations

B
Arizona 2/26/2019
B
New Hampshire 2/26/2019
B
Arkansas 2/26/2025
B
New Jersey 2/26/2019
B
California 2/26/2019
B
New Mexico 2/26/2019
B
Colorado 2/26/2019
B
New York 2/26/2019
B
Delaware 5/17/2021
B
North Carolina 2/26/2019
B
District of Columbia 11/20/2024
B
Ohio 2/26/2019
B
Florida 2/26/2019
IA
Ohio 2/26/2019
B
Georgia 2/26/2019
B
Oregon 2/26/2019
B
Illinois 2/26/2019
B
Pennsylvania 2/26/2019
B
Indiana 2/26/2019
B
South Carolina 2/26/2019
B
Kentucky 2/26/2019
B
Tennessee 2/26/2019
B
Maryland 4/23/2020
B
Texas 2/26/2019
B
Massachusetts 2/26/2019
IA
Texas 2/26/2019
B
Michigan 2/26/2019
B
Utah 10/22/2019
B
Minnesota 1/3/2023
B
Virginia 2/26/2019
B
Mississippi 2/25/2022
B
Washington 2/26/2019
B
Missouri 2/26/2019
B
West Virginia 6/8/2022
B
Nebraska 10/22/2019
B
Wisconsin 7/24/2020
B
Nevada 7/15/2022
B
Wyoming 2/26/2019

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)
380 POLARIS PKWY STE 250, WESTERVILLE, OH 43082
Registered with this firm since 2/26/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
380 POLARIS PKWY STE 250, WESTERVILLE, OH 43082
Registered with this firm since 2/26/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/10/2018 - 02/14/2019 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) COLUMBUS, OH
B
 01/10/2018 - 02/14/2019 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) COLUMBUS, OH
IA
 01/23/2017 - 12/21/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW ALBANY, OH
B
 08/01/2016 - 12/21/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW ALBANY, OH
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.