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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
NY RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • NY RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • 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 Purchase NY 08/2016 06/2023
Wells Fargo Clearing Services, Llc Purchase NY 06/2023 Present
Morgan Stanley Private Bank, N.A New York NY 10/2016 Present
Previous Registrations
  • 2020-05-12 → 2023-07-06
    Boston, MA
    Mount Kisco, NY
    Purchase, NY
    Boston, MA
    Purchase, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-18
  • S66 Uniform Combined State Law Examination
    2004-08-18
Designations

View on SEC IAPD

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