Yvonne Annette Lively

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2022-05-10
TX	RA	APPROVED	2022-05-10

MD RA
APPROVED

Since 2022-05-10
TX RA
APPROVED

Since 2022-05-10

Branch Locations

410 Severn Avenue Suite 211, Annapolis, MD 21403 • 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

Organization	City	State	From	To
Wachovia Bank, N.A.	Annapolis	MD	03/2011	04/2022
Wells Fargo Advisors Llc	Annapolis	MD	06/2011	11/2016
Wells Fargo Clearing Services, Llc	Annapolis	MD	11/2016	04/2022
Morgan Stanley	Annapolis	MD	04/2022	Present

03/2011 → 04/2022

Wachovia Bank, N.A.

Annapolis, MD
06/2011 → 11/2016

Wells Fargo Advisors Llc

Annapolis, MD
11/2016 → 04/2022

Wells Fargo Clearing Services, Llc

Annapolis, MD
04/2022 → Present

Morgan Stanley

Annapolis, MD

Previous Registrations

2011-07-12 → 2022-04-28

Wells Fargo Clearing Services, Llc

Annapolis, MD

Columbia, MD

Annapolis, MD

Bethesda, MD

Columbia, MD

Lancaster, PA

Annapolis, MD

Columbia, MD

Bethesda, MD

Alexandria, VA
2009-10-21 → 2010-06-04

Charles Schwab & Co., Inc.

Englewood, CO

Jacksonville, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-10-06
S63	Uniform Securities Agent State Law Examination	2007-12-28

S66 Uniform Combined State Law Examination

2009-10-06
S63 Uniform Securities Agent State Law Examination

2007-12-28

Other Names

Yvonne Annette Canales
Yvonne Annette Henry

View on SEC IAPD

Other Firms

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CETERA INVESTMENT ADVISERS LLC

RCS FINANCIAL PLANNING, LLC

MARINER INDEPENDENT

EQUITABLE ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

Other Investors

Robert E Saunders

DONALD WILLIAM COLLETT

LEE DONALD BOLLHORST

JAMES WILSON THOMAS

Stefen Thomas Main

SAMANTHA MARIE LONG

Daniel Maris Beigel

JOSEPH WALLACE DUBINSKI

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · ANNAPOLIS, MD

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ANNAPOLIS, MD

CETERA INVESTMENT ADVISERS LLC · Annapolis, MD

RCS FINANCIAL PLANNING, LLC · ANNAPOLIS, MD

AMERIPRISE FINANCIAL SERVICES, LLC · Annapolis, MD

MARINER INDEPENDENT · Annapolis, MD

EQUITABLE ADVISORS, LLC · ANNAPOLIS, MD

WELLS FARGO CLEARING SERVICES, LLC · ANNAPOLIS, MD

More in Annapolis, MD

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