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Karen F Levy

Wells Fargo Clearing Services, LLC

Cincinnati, OH

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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
OH RA APPROVED 2023-02-02
TX RA APPROVED 2023-02-02
  • OH RA
    APPROVED
    Since 2023-02-02
  • TX RA
    APPROVED
    Since 2023-02-02

Branch Locations

8044 Montgomery Rd Ste 570 Towers Of Kenwood, Cincinnati, OH 45236 • 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 Private Bank, National Association New York NY 01/2015 02/2023
Wells Fargo Clearing Services, Llc Cincinnati OH 01/2023 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 01/2015 → 02/2023
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 01/2023 → Present
    Wells Fargo Clearing Services, Llc
    Cincinnati, OH
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-18
  • S66 Uniform Combined State Law Examination
    2007-10-18
Other Names
  • Karen L Tochtermann

View on SEC IAPD

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QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
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BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
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