Lucia Siena, financial advisor Rochester NY

Lucia Siena

CRD Number: 5056469
Current Firm: Wells Fargo Clearing Services, LLC

Lucia Siena (CRD# 5056469) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in Rochester, NY and has over 15 years of experience in the finance industry.

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Merrill Lynch, Pierce, Fenner & Smith Incorporated
Company Name Location Dates Years
Wells Fargo Clearing Services, LLC Rochester, NY Nov 2016 - Current 5
Wells Fargo Advisors, LLC Rochester, NY Sep 2016 - Nov 2016 < 1
Amerirprise Financial Services, Inc. Rochester, NY Jan 2016 - Jul 2016 < 1
Sage Rutty & Company, Inc. Rochester, NY Sep 2010 - Dec 2015 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2006
S65 NASAA Investment Advisors Law Examination Jul 2010
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Lucia Siena
Phone Number: 314-875-3000
Registered State(s):
  • NJ
  • NY
  • TX
By the Numbers
  • Total Assets Under Management
    568,760
    MILLIONS
  • Total Number of Accounts
    1,434,300
    ACCOUNTS
  • Average Account Value
    $396,542
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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