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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
UT RA APPROVED 2022-05-04
TX RA APPROVED 2022-05-03
  • UT RA
    APPROVED
    Since 2022-05-04
  • TX RA
    APPROVED
    Since 2022-05-03

Branch Locations

4711 S Highland Dr, Salt Lake City, UT 84117 • United States

299 S Main St 7Th Fl [Mk/Me-Rbo], Salt Lake City, UT 84111 • 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 Holladay UT 12/2012 05/2022
Morgan Stanley Private Bank, National Association New York NY 01/2015 05/2022
Wells Fargo Clearing Services, Llc Salt Lake City UT 05/2022 Present
Previous Registrations
  • 2013-01-29 → 2022-05-05
    South Jordan, UT
    Holladay, UT
  • 2012-06-15 → 2012-12-14
    Harrisdirect Llc
    Arlington, VA
  • 2009-06-01 → 2012-06-14
    South Jordan, UT
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    South Jordan, UT
    South Jordan, UT
  • 2007-02-23 → 2007-04-02
    Morgan Stanley Dw Inc.
    West Valley City, UT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-20
  • S66 Uniform Combined State Law Examination
    2007-02-20

View on SEC IAPD

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