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Marc Eugene Duquette

Wells Fargo Clearing Services, LLC

Boca Raton, FL

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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
FL RA APPROVED 2019-12-09
TX RA APPROVED 2019-12-06
  • FL RA
    APPROVED
    Since 2019-12-09
  • TX RA
    APPROVED
    Since 2019-12-06

Branch Locations

1675 N Military Trail Ste 500, Boca Raton, FL 33486 • 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 Fort Lauderdale FL 08/2011 12/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 12/2019
Wells Fargo Clearing Services, Llc. Boca Raton FL 12/2019 Present
  • 08/2011 → 12/2019
    Morgan Stanley Smith Barney
    Fort Lauderdale, FL
  • 01/2015 → 12/2019
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 12/2019 → Present
    Wells Fargo Clearing Services, Llc.
    Boca Raton, FL
Previous Registrations
  • 2012-01-03 → 2019-12-09
    Morgan Stanley
    Ft. Lauderdale, FL
    Fort Lauderdale, FL
Other Businesses

LOAN, INV RELATED, FORT LAUDERDALE, FL, START: 06/01/2013, 0 HRS/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-30
S63 Uniform Securities Agent State Law Examination 1990-09-24
  • S65 Uniform Investment Adviser Law Examination
    2011-12-30
  • S63 Uniform Securities Agent State Law Examination
    1990-09-24

View on SEC IAPD

Other Firms

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AMERIPRISE FINANCIAL SERVICES, LLC
HIGHTOWER ADVISORS, LLC
ISAM FUNDS (USA) LLC
J.P. MORGAN SECURITIES LLC
FOCUS PARTNERS WEALTH, LLC
UBS FINANCIAL SERVICES INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Other Investors

THOMAS JETHRO DARDEN
Nancy JoeAnn Tush
LANCE P ROSS
BARBARA BLOOM VARGAS
ISABEL VOYER
JEFFREY MARK EAGLE
ELIZABETH V BRUNO
GREGORY DEHRMANN MISEYKO

Other Offices

SUN CAPITAL ADVISORS, L.P. · BOCA RATON, FL
AMERIPRISE FINANCIAL SERVICES, LLC · BOCA RATON, FL
HIGHTOWER ADVISORS, LLC · Boca Raton, FL
ISAM FUNDS (USA) LLC · BOCA RATON, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL

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