Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Lipps is a compliance officer at Wells Fargo Securities, LLC. Sarah is registered with FINRA and has been working in the financial industry since December 2018. Sarah holds the Series 14 exam.
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NY
12/21/2018 - Present
Wells Fargo Securities, LLC (New York NY)
BC
Issued 12/21/2018
Series 14 - Compliance Officer Examination
Active
Inactive
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
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Investors' Exchange LLC
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Long-Term Stock Exchange, Inc.
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MEMX LLC
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MIAX Emerald, LLC
M
MIAX PEARL, LLC
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Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
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Nasdaq GEMX, LLC
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Nasdaq ISE, LLC
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Nasdaq MRX, LLC
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Nasdaq PHLX LLC
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Nasdaq Stock Market
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New York Stock Exchange
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