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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-06-05
TX RA APPROVED 2025-06-05
  • NY RA
    APPROVED
    Since 2025-06-05
  • TX RA
    APPROVED
    Since 2025-06-05

Branch Locations

399 Knollwood Rd 208 2Nd Floor, White Plains, NY 10603 • 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Mount Kisco NY 12/2015 06/2020
Morgan Stanley Private Bank, National Association New York NY 01/2016 06/2020
Lpl Financial Elmsford NY 06/2020 06/2025
Morgan Stanley Private Bank, N.A New York NY 01/2016 06/2020
Wells Fargo Advisors Financial Network, Llc White Plains NY 06/2025 Present
  • 12/2015 → 06/2020
    Morgan Stanley Smith Barney Llc
    Mount Kisco, NY
  • 01/2016 → 06/2020
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 06/2020 → 06/2025
    Lpl Financial
    Elmsford, NY
  • 01/2016 → 06/2020
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 06/2025 → Present
    White Plains, NY
Previous Registrations
  • 2020-07-01 → 2025-06-09
    White Plains, NY
    Elmsford, NY
    Paramus, NJ
  • 2015-12-11 → 2020-07-09
    Mount Kisco, NY
    Purchase, NY
  • 2012-10-01 → 2015-12-21
    Pleasantville, NY
    Bedford, NY
    Bedford, NY
    Pleasantville, NY
    Briarcliff, NY
    Pleasantville, NY
    Armonk, NY
  • 2010-09-30 → 2012-10-01
    Chase Investment Services Corp.
    Pleasantville, NY
    Bedford, NY
    Bedford, NY
    Mount Kisco, NY
    Mount Kisco, NY
    Bedford, NY
  • 2003-07-01 → 2010-09-22
    New York, NY
    Paramus, NJ
    New York, NY
  • 2000-11-29 → 2003-07-01
    Prudential Equity Group, Llc
    New York, NY
Other Businesses

(1) 6/9/2021 - Horizon Wealth Managers LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 11/2/2020 - 4 Hours Per Month/4 Hours During Securities Trading. (2) 04/13/2023 - Watermark Life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Financial Advisor - Start Date 04/03/2023 - 20 Hours Per Month/ 1 Hours During Securities Trading (3) 04/29/2024 - Horizon Wealth Managers - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/09/2021 - 160 Hours Per Month/ 7 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-12-05
S63 Uniform Securities Agent State Law Examination 1998-04-06
  • S65 Uniform Investment Adviser Law Examination
    2006-12-05
  • S63 Uniform Securities Agent State Law Examination
    1998-04-06
Other Names
  • Michael Vaughn
  • D Michael Vujnovich

View on SEC IAPD

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