Tawny Lee Britton

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2019-10-29
TX	RA	APPROVED	2019-10-28

CA RA
APPROVED

Since 2019-10-29
TX RA
APPROVED

Since 2019-10-28

Branch Locations

3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Austin	TX	05/2016	11/2016
Wells Fargo Clearing Services, Llc	Austin	TX	11/2016	10/2019
Morgan Stanley Smith Barney Llc	Santa Rosa	CA	10/2019	Present

05/2016 → 11/2016

Wells Fargo Advisors Llc

Austin, TX
11/2016 → 10/2019

Wells Fargo Clearing Services, Llc

Austin, TX
10/2019 → Present

Morgan Stanley Smith Barney Llc

Santa Rosa, CA

Previous Registrations

2016-05-27 → 2019-11-04

Wells Fargo Clearing Services, Llc

Austin, TX

Austin, TX

Santa Rosa, CA
2014-12-05 → 2016-05-31

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Austin, TX
2013-06-10 → 2014-10-28

Ubs Financial Services Inc.

Austin, TX
2011-01-03 → 2013-06-11

Wells Fargo Clearing Services, Llc

Austin, TX

Austin, TX
2010-07-30 → 2011-01-03

Wells Fargo Investments, Llc

Austin, TX
2009-11-17 → 2010-07-28

Chase Investment Services Corp.

Austin, TX
2006-09-28 → 2009-10-28

Wells Fargo Investments, Llc

Austin, TX

Houston, TX

Lakeway, TX

Austin, TX

Austin, TX

Austin, TX
2005-07-20 → 2006-09-20

Chase Investment Services Corp.

Round Rock, TX

Round Rock, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-07-18
S63	Uniform Securities Agent State Law Examination	2002-07-26

S65 Uniform Investment Adviser Law Examination

2005-07-18
S63 Uniform Securities Agent State Law Examination

2002-07-26

Designations

View on SEC IAPD

Other Firms

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

CALDWELL SUTTER CAPITAL, INC.

WELLS FARGO CLEARING SERVICES, LLC

FOCUS PARTNERS WEALTH, LLC

LPL FINANCIAL LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

A.E.I. FINANCIAL GROUP

Other Investors

JAMES BERNARD BERTERO

MICHAEL KEVIN MOBERLY

STEPHEN LORAN SMITH

JENNIFER LEE KNAPP

MATTHEW JOSEPH VEAL

MATTHEW MARK DAVIS

JEFFREY DONALD OLE GOSPE

PAMELA LYNN KEZER

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Santa Rosa, CA

CALDWELL SUTTER CAPITAL, INC. · Santa Rosa, CA

WELLS FARGO CLEARING SERVICES, LLC · SANTA ROSA, CA

WELLS FARGO CLEARING SERVICES, LLC · SANTA ROSA, CA

EDWARD JONES · SANTA ROSA, CA

FOCUS PARTNERS WEALTH, LLC · SANTA ROSA, CA

FOCUS PARTNERS WEALTH, LLC · SANTA ROSA, CA

LPL FINANCIAL LLC · SANTA ROSA, CA

More in Santa Rosa, CA

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