Lawrence B Jay

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-01-21
NJ	RA	APPROVED	2021-01-15

TX RA
APPROVED_RES

Since 2021-01-21
NJ RA
APPROVED

Since 2021-01-15

Branch Locations

Englishtown, NJ • United States

331 Newman Springs Rd Bldg 2, 3Rd Fl, Red Bank, NJ 07701 • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Manasquan	NJ	09/2010	01/2021
Wells Fargo Clearing Services Llc	Red Bank	NJ	01/2021	Present

09/2010 → 01/2021

Ubs Financial Services Inc

Manasquan, NJ
01/2021 → Present

Wells Fargo Clearing Services Llc

Red Bank, NJ

Previous Registrations

2010-09-30 → 2021-02-11

Ubs Financial Services Inc.

Wall, NJ
2009-06-01 → 2010-10-29

Morgan Stanley

Morganville, NJ
2004-07-23 → 2009-06-01

Citigroup Global Markets Inc.

Morganville, NJ

Morganville, NJ
2004-04-16 → 2004-07-27

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Freehold, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-12-16

S66 Uniform Combined State Law Examination

1998-12-16

Other Names

Larry Jay
Lawrence Barnett Jay

View on SEC IAPD