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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
MO RA APPROVED 2019-08-22
TX RA APPROVED 2019-08-22
  • MO RA
    APPROVED
    Since 2019-08-22
  • TX RA
    APPROVED
    Since 2019-08-22

Branch Locations

1720 E Bradford Pkwy, Springfield, MO 65804 • 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 & Co., Incorporated Overland Park KS 04/2007 08/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Springfield MO 07/2011 08/2019
Bank Of America, N.A. Springfield MO 11/2011 08/2019
Wells Fargo Clearing Services Llc Springfield MO 08/2019 Present
Previous Registrations
  • 2011-07-15 → 2019-08-23
    Springfield, MO
  • 2009-06-01 → 2011-08-04
    Leawood, KS
    Springfield, MO
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Overland Park, KS
    Springfield, MO
  • 2005-03-11 → 2007-04-02
    Morgan Stanley Dw Inc.
    Springfield, MO
    Overland Park, KS
    Springfield, MO
    Springfield, MO
  • 1999-02-11 → 2005-03-15
    Springfield, MO
Other Businesses

SABRESOUND MUSIC LLC DBA DC-JAM RECORDS, NOT INV RELATED, SPRINGFIELD, MO; 100% OWNERSHIP, START 10/11/2002, 40 HOURS PER MONTH, ZERO HOURS DURING TRADING, WORKING WITH RECORDING ARTISTS AND MUSIC DISTRIBUTION. MISSOURIANS IMPROVING HIGHER EDUCATION LLC; NOT INV. RELATED; SPRINGFIELD, MO; 100% OWNERSHIP; START DATE 11/20/2023; 5 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: OWNER/MEMBER, SPEAKING ENGAGEMENTS. MISSOURI FOOTBALL PLAYERS ASSOCIATION ; NOT INV RELATED;SPRINGFIELD,MO; FUNDRAISER; BOARD MEMBER; START DATE: 02/02/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-01
S63 Uniform Securities Agent State Law Examination 1995-02-02
  • S66 Uniform Combined State Law Examination
    2005-09-01
  • S63 Uniform Securities Agent State Law Examination
    1995-02-02

View on SEC IAPD

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