Best Investors Account Sign in
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 2024-08-22
OH RA APPROVED 2019-05-17
  • FL RA
    APPROVED
    Since 2024-08-22
  • OH RA
    APPROVED
    Since 2019-05-17

Branch Locations

Punta Gorda, FL • United States

226 Crocker Park Blvd Ste 200, Westlake, OH 44145 • 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 Private Bank, National Association New York NY 01/2015 Present
Morgan Stanley Smith Barney Llc Westlake OH 11/2009 Present
Wells Fargo Clearing Services Llc Westlake OH 05/2019 Present
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 11/2009 → Present
    Morgan Stanley Smith Barney Llc
    Westlake, OH
  • 05/2019 → Present
    Westlake, OH
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-16
S63 Uniform Securities Agent State Law Examination 1995-06-12
  • S65 Uniform Investment Adviser Law Examination
    2000-05-16
  • S63 Uniform Securities Agent State Law Examination
    1995-06-12

View on SEC IAPD

More in Punta Gorda, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor