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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
CA RA APPROVED 2019-11-20
TX RA APPROVED_RES 2019-11-20
  • CA RA
    APPROVED
    Since 2019-11-20
  • TX RA
    APPROVED_RES
    Since 2019-11-20

Branch Locations

5 Park Plz 19Th & 20Th Fls, Irvine, CA 92614 • United States

Truckee, CA • 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 Newport Beach CA 06/2009 11/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 11/2019
Wells Fargo Clearing Services, Llc Newport Beach, Ca CA 11/2019 Present
Previous Registrations
Other Businesses

ILROPE, INV RELATED, PANNINGEN, NETHERLANDS, 33.33% OWNERSHIP, START 1/1/1984, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS COMMERCIAL PROPERTIES. COMMERCIAL RENTAL PROPERTY, INV RELATED, VENLO, NETHERLANDS, 33.33% OWNERSHIP, START 1/1/1984, ZERO HOURS PER MONTH, ZERO DURING TRADING, REAL ESTATE. COMMERCIAL RENTAL PROPERTY, INV RELATED, PANNINGEN, NETHERLANDS, 33.33% OWNERSHIP, START 1/1/1984, ZERO HOURS PER MONTH, ZERO DURING TRADING, REAL ESTATE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-21
  • S66 Uniform Combined State Law Examination
    2007-02-21

View on SEC IAPD

Other Firms

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