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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 2023-06-26
NM RA APPROVED 2022-08-01
NY RA APPROVED 2021-07-27
NJ RA APPROVED 2019-09-04
  • TX RA
    APPROVED
    Since 2023-06-26
  • NM RA
    APPROVED
    Since 2022-08-01
  • NY RA
    APPROVED
    Since 2021-07-27
  • NJ RA
    APPROVED
    Since 2019-09-04

Branch Locations

461 From Road Suite 101, Paramus, NJ 07652 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Paramus NJ 02/2013 09/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2019
Wells Fargo Clearing Services Llc New City NY 09/2019 Present
Previous Registrations
Other Businesses

TRUSTEE FOR FATHER'S TRUST, INV RELATED, CORTLANDT MANOR, NY, START: 3/13/2023, 0 HOURS A MONTH, 0 HOURS DURING TRADING. CJN HOLDINGS CO LLC, INV RELATED, ALBANY, NY, 33.3% OWNERSHIP, START 4/23/2021, .1 HOURS PER MONTH, ZERO HOURS DURING TRADING, TO HOLD REAL ESTATE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-03-25
S63 Uniform Securities Agent State Law Examination 2012-06-06
  • S66 Uniform Combined State Law Examination
    2013-03-25
  • S63 Uniform Securities Agent State Law Examination
    2012-06-06
Designations

View on SEC IAPD

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