Career
Paul Lacey has been Principal Operations Officer/Control Principal of Wells Fargo Advisors Financial Network since April 2023. Paul Lacey is a control person of the firm and directly owns under 5% of it.
Wells Fargo Advisors Financial Network, LLC is a St. Louis, MO firm with $252B under management, 466,575 clients and 2,366 advisers across 1,339 offices, as of its September 2026 filing.
No adviser firm registrations are on Paul Lacey’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 31 July 2017 |
| Series 52 | Municipal Securities Representative Examination | 1 May 2017 |
| Series 27 | Financial and Operations Principal Examination | 22 November 2016 |
| Series 7 | General Securities Representative Examination | 16 March 2015 |
| Series 99 | Operations Professional Examination | 23 April 2012 |
- Name
- Securities Trader Exam
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Representative Examination
- Name
- Operations Professional Examination
Individual record
- Full name
- Paul Lacey
- CRD
- 5616656
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Paul Lacey work?
Paul Lacey has been Principal Operations Officer/Control Principal of Wells Fargo Advisors Financial Network, LLC since April 2023, and is a control person of the firm.
Does Paul Lacey have a current investment-adviser registration?
Paul Lacey has a current broker registration and no current investment-adviser registration.
What exams has Paul Lacey passed?
Paul Lacey has passed 6 licensing exams: the Series 99, Series 7, Series 27, Series 52, Series 53 and Series 57TO. The earliest, the Series 99, was passed in April 2012. FINRA credited Paul Lacey with the SIE, which began in October 2018.
Leadership at Wells Fargo Advisors Financial Network
- Erik KaranikChief Executive Officer / Board of Managers
- John TyersPresident/Board of Managers/Control Principal
- Rakesh PatelChief Financial Officer
- Paul SankovichChief Compliance Officer
- James CravenBoard of Managers
- Sol GindiBoard of Managers
- David MarkmannDesignated Texas Officer
- Kimberly TaBoard of Managers/Control Principal