Lucy Christel Matthews

CRD 856024 · Wells Fargo Advisors · Portage, MI

IA RegisteredBroker

Also appears in the source record as: Lucy Christel Moffat

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 1Series 65Series 63
Registered states (23): Arkansas · California · Colorado · Connecticut · Florida · Georgia · Illinois · Indiana · Louisiana · Maine · Massachusetts · Michigan · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia
Years in the industry (source record): 46
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 856024 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 (17)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Portage, MI · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Rancho Mirage, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Portage, MI · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Rancho Mirage, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Portage, MI · IA capacity

start not retrieved → present
Morgan Stanley
Kalamazoo, MI · IA capacity

Jun 1, 2009 → Mar 7, 2016
Morgan Stanley
Kalamazoo, MI · BC capacity

Jun 1, 2009 → Mar 7, 2016
Morgan Stanley & Co. Incorporated
Kalamazoo, MI · IA capacity

Feb 24, 2009 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
Kalamazoo, MI · BC capacity

May 4, 2007 → Jun 1, 2009
Citigroup Global Markets Inc.
Kalamazoo, MI · BC capacity

Sep 25, 1998 → May 11, 2007
Roney & Co.
Detroit, MI · BC capacity

May 11, 1998 → Sep 28, 1998
Roney & Co. L.L.C.
Detroit, MI · BC capacity

Sep 2, 1993 → May 11, 1998
Centennial Securities Company, Inc.
Grand Rapids, MI · BC capacity

Jun 26, 1991 → Sep 8, 1993
Robert W. Baird & Co. Incorporated
Milwaukee, WI · BC capacity

Jul 1, 1988 → Jul 24, 1989
Buys-Macgregor, Macnaughton- Greenawalt & Co.
BC capacity

May 28, 1986 → Jul 1, 1988
The Lincoln National Life Insurance Company
BC capacity

Aug 24, 1978 → Mar 28, 1988
Lincoln National Pension Insurance Company
BC capacity

Mar 26, 1985 → Jun 17, 1986

Source & corrections

Where this page comes from

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