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Lucy Matthews

Wells Fargo Advisors
46 Years of Experience
Portage, MI
1 DisclosureBroker
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Lucy Matthews is a registered investment advisor at Wells Fargo Advisors, based in Portage, MI, with 46 years of industry experience. Lucy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

7900 Moorsbridge Rd, Portage, MI, 49024

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Lucy receives oil and gas royalties from Merit Energy since 2013. This activity is investment-related and requires minimal time.

Employment History
Current Registrations
Wells Fargo Advisors
February 2016 - Present · 10 yrs 8 mos
Wells Fargo Clearing Services, LLCBroker
February 2016 - Present · 10 yrs 8 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - March 2016 · 6 yrs 9 mos
Morgan Stanley
June 2009 - March 2016 · 6 yrs 9 mos
Morgan Stanley & CO. Incorporated
February 2009 - June 2009 · 4 mos
Morgan Stanley & CO. IncorporatedBroker
May 2007 - June 2009 · 2 yrs 1 mo
Citigroup Global Markets INC.Broker
September 1998 - May 2007 · 8 yrs 8 mos
Roney & CO.Broker
May 1998 - September 1998 · 4 mos
Roney & CO. L.L.C.Broker
September 1993 - May 1998 · 4 yrs 8 mos
Centennial Securities Company, INC.Broker
June 1991 - September 1993 · 2 yrs 3 mos
Robert W. Baird & CO. IncorporatedBroker
July 1988 - July 1989 · 1 yr
Buys-Macgregor, Macnaughton- Greenawalt & CO.Broker
May 1986 - July 1988 · 2 yrs 2 mos
Lincoln National Pension Insurance CompanyBroker
March 1985 - June 1986 · 1 yr 3 mos
The Lincoln National Life Insurance CompanyBroker
August 1978 - March 1988 · 9 yrs 7 mos
State Registrations23 states
ARCACOCTFLGAILINLAMAMEMINCNYOHOKPASCSDTNTXUTVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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