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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
VA RA APPROVED 2018-04-24
TX RA APPROVED_RES 2018-04-23
  • VA RA
    APPROVED
    Since 2018-04-24
  • TX RA
    APPROVED_RES
    Since 2018-04-23

Branch Locations

1021 E Cary St 22Nd Fl James Center Ii, Richmond, VA 23219 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Richmond VA 03/2011 04/2018
Morgan Stanley Private Bank, National Association New York NY 01/2015 04/2018
Wells Fargo Clearing Services, Llc Richmond VA 04/2018 Present
  • 03/2011 → 04/2018
    Morgan Stanley Smith Barney
    Richmond, VA
  • 01/2015 → 04/2018
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 04/2018 → Present
    Richmond, VA
Previous Registrations
Other Businesses

SHORT PUMP MIDDLE SCHOOL; NOT INVESTMENT RELATED; GLEN ALLEN,VA; SOCCER COACH; START DATE 03/21/2022; NUMBER OF HOURS PER MONTH 20; NUMBER OF HOURS DURING TRADING 0; COACHING SCHOOL SOCCER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-06
  • S66 Uniform Combined State Law Examination
    2004-08-06
Other Names
  • David M Simpson

View on SEC IAPD

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