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James John Bann

Wells Fargo Clearing Services, LLC

Naperville, IL

Earlville, IL

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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 2020-02-27
IL RA APPROVED 2019-04-26
  • TX RA
    APPROVED
    Since 2020-02-27
  • IL RA
    APPROVED
    Since 2019-04-26

Branch Locations

2056 Westings Ave Ste 500, Naperville, IL 60563 • United States

Earlville, IL • 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 Lisle IL 11/2011 04/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 04/2019
Wells Fargo Clearing Services Llc Naperville IL 04/2019 Present
  • 11/2011 → 04/2019
    Morgan Stanley Smith Barney
    Lisle, IL
  • 01/2015 → 04/2019
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 04/2019 → Present
    Wells Fargo Clearing Services Llc
    Naperville, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-09-08
S63 Uniform Securities Agent State Law Examination 1994-10-05
  • S66 Uniform Combined State Law Examination
    2000-09-08
  • S63 Uniform Securities Agent State Law Examination
    1994-10-05
Other Names
  • Jay Bann
  • J J Bann

View on SEC IAPD

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Other Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · NAPERVILLE, IL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · NAPERVILLE, IL
BENJAMIN F. EDWARDS & COMPANY, INC. · Naperville, IL
SEQUOIA WEALTH MANAGEMENT, LLC · Naperville, IL
ACCESS SOFTEK ADVISORY SERVICES · NAPERVILLE, IL
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