Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alma? Claim Your ProfileAlma Lerseth is an investment advisor representative with Wells Fargo Clearing Services, LLC. Alma Lerseth has been in the industry since February 21, 1997. Alma Lerseth has passed the Series 63, 65, 7, 8, 9, 10, 24, 79 and 99 exams and holds registrations in California, Massachusetts, Arkansas, New York, and Utah. Alma Lerseth has experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Citigroup Global Markets Inc., UBS Financial Services Inc., Quest Capital Strategies, Inc., Charles Schwab & Co., Inc., First Republic Securities Company, LLC and Wells Fargo Advisors, LLC. Alma Lerseth also has experience with First Republic Investment Management Inc. and Wells Fargo Bank.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
11/08/2021 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
CA
05/27/2016 - 04/12/2018
WELLS FARGO CLEARING SERVICES, LLC (SAN FRANCISCO CA)
CA
09/18/2014 - 01/04/2016
FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN FRANCISCO CA)
CA
02/05/2014 - 09/12/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
NY
06/01/2009 - 01/23/2014
MORGAN STANLEY (PURCHASE NY)
NY
12/19/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CA
04/20/2005 - 12/05/2006
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
06/10/2002 - 04/05/2005
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
TX
09/30/1992 - 06/09/2000
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 05/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/29/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 04/12/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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