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James Jake Morton

Wells Fargo Clearing Services, LLC

Greenwood Village, CO

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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
TX RA APPROVED_RES 2022-01-13
CO RA APPROVED 2016-08-19
  • TX RA
    APPROVED_RES
    Since 2022-01-13
  • CO RA
    APPROVED
    Since 2016-08-19

Branch Locations

5613 Dtc Pkwy [Rf-Rbo], Greenwood Village, CO 80111 • 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
Wells Fargo Advisors, Llc Greenwood Village CO 08/2016 11/2016
Wells Fargo Clearing Services, Llc Greenwood Village CO 11/2016 Present
Previous Registrations
  • 2013-09-17 → 2016-09-16
    Bok Financial Securities, Inc.
    Parker, CO
    Greenwood Village, CO
    Parker, CO
    Parker, CO
    Parker, CO
    Highlands Ranch, CO
    Littleton, CO
    Aurora, CO
    Greenwood Village, CO
  • 2010-11-12 → 2013-09-05
    Usaa Financial Planning Services
    San Antonio, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-11-09
S63 Uniform Securities Agent State Law Examination 2008-07-17
  • S65 Uniform Investment Adviser Law Examination
    2010-11-09
  • S63 Uniform Securities Agent State Law Examination
    2008-07-17
Other Names
  • James Morton
  • James Jake Morton
  • James J Morton

View on SEC IAPD

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Other Offices

DODDS WEALTH, LLC · GREENWOOD VILLAGE, CO
MARSHALL INVESTMENT MANAGEMENT, LLC · GREENWOOD VILLAGE, CO
AXS CAPITAL, LLC · GREENWOOD VILLAGE, CO
MORGAN STANLEY · Greenwood Village, CO
RBC CAPITAL MARKETS, LLC · GREENWOOD VILLAGE, CO
LPL FINANCIAL LLC · GREENWOOD VILLAGE, CO
LPL FINANCIAL LLC · GREENWOOD VILLAGE, CO
WESTERN WEALTH MANAGEMENT LLC · Greenwood Village, CO

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