Mark Thomas Lindee

CRD 1197637 · Wells Fargo Advisors · Los Angeles, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 3Series 7Series 65Series 63
Registered states (12): California · Colorado · Florida · Illinois · Michigan · Missouri · Nevada · New Jersey · New Mexico · New York · Ohio · Texas
Years in the industry (source record): 42
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1197637 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (10)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Barclays Capital Inc.
Los Angeles, CA · IA capacity

Jan 23, 2012 → Jun 13, 2012
Barclays Capital Inc.
Los Angeles, CA · BC capacity

Jan 20, 2012 → Jun 13, 2012
Citigroup Global Markets Inc.
Los Angeles, CA · IA capacity

Jul 27, 2004 → Nov 25, 2005
Citigroup Global Markets Inc.
New York, NY · BC capacity

May 27, 2000 → Nov 25, 2005
Schroder & Co. Inc.
New York, NY · BC capacity

Dec 14, 1998 → May 27, 2000
Lehman Brothers Inc.
New York, NY · BC capacity

Oct 17, 1997 → Dec 15, 1998
Morgan Stanley & Co., Incorporated
New York, NY · BC capacity

Feb 1, 1988 → Jul 25, 1989
Kidder, Peabody & Co. Incorporated
BC capacity

Oct 19, 1983 → Feb 11, 1988

Source & corrections

Where this page comes from

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