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Alex M Sullivan

Wells Fargo Clearing Services, LLC

Worcester, MA

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Current Employers
Wells Fargo Clearing Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-08-04
CT RA APPROVED 2024-03-15
  • TX RA
    APPROVED
    Since 2026-08-04
  • CT RA
    APPROVED
    Since 2024-03-15

Branch Locations

100 Front St Ste 1900, Worcester, MA 01608 • 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 Worcester MA 06/2009 03/2024
Morgan Stanley Private Bank, National Association New York NY 01/2015 03/2024
Wells Fargo Clearing Services, Llc Worcester MA 03/2024 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 06/2009 → 03/2024
    Morgan Stanley Smith Barney
    Worcester, MA
  • 01/2015 → 03/2024
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 03/2024 → Present
    Wells Fargo Clearing Services, Llc
    Worcester, MA
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2021-05-17 → 2024-03-26
    Morgan Stanley
    Westborough, MA
    Worcester, MA
Other Businesses

RENTAL PROPERTY, INVT RELATED, WORCESTER, MA, 100% OWNERSHIP, START DATE 4/1/2024, 0-1 HR PER MONTH, 0 HRS DURING TRADING, OWNER OF RENTAL.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-01
  • S66 Uniform Combined State Law Examination
    2004-07-01
Other Names
  • Alex Sullivan
  • Alex Metzger Sullivan

View on SEC IAPD

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