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James Daniel Carpentier-Levy

Wells Fargo Clearing Services, LLC

San Diego, CA

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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 2024-08-29
TX RA APPROVED 2024-08-29
  • CA RA
    APPROVED
    Since 2024-08-29
  • TX RA
    APPROVED
    Since 2024-08-29

Branch Locations

12531 High Bluff Dr Ste 400, San Diego, CA 92130 • 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 Smith Barney Redlands CA 06/2009 08/2024
Morgan Stanley Private Bank, National Association New York NY 01/2015 08/2024
Wells Fargo Clearing Services, Llc San Diego CA 08/2024 Present
Morgan Stanley Private Bank, N.A New York NY 07/2024 Present
  • 06/2009 → 08/2024
    Morgan Stanley Smith Barney
    Redlands, CA
  • 01/2015 → 08/2024
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 08/2024 → Present
    Wells Fargo Clearing Services, Llc
    San Diego, CA
  • 07/2024 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2009-06-01 → 2024-09-10
    Morgan Stanley
    Redlands, CA
    San Diego, CA
    Riverside, CA
  • 2008-10-17 → 2009-06-01
    Morgan Stanley & Co. Llc
    Redlands, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-10-16
S63 Uniform Securities Agent State Law Examination 2008-05-02
  • S65 Uniform Investment Adviser Law Examination
    2008-10-16
  • S63 Uniform Securities Agent State Law Examination
    2008-05-02
Other Names
  • James Daniel Carpentier-Levy
  • James Carpentier-Levy

View on SEC IAPD

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