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John Allen Lee

Wells Fargo Clearing Services, LLC

Tacoma, WA

Orondo, WA

Edgewood, WA

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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
WA RA APPROVED 2018-03-16
  • WA RA
    APPROVED
    Since 2018-03-16

Branch Locations

1201 Pacific Ave 11Th Fl, Tacoma, WA 98402 • United States

Orondo, WA • United States

Edgewood, WA • 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 Tacoma WA 07/2009 03/2018
Morgan Stanley Private Bank, National Association New York NY 01/2015 03/2018
Wells Fargo Clearing Services Llc Tacoma WA 03/2018 Present
  • 07/2009 → 03/2018
    Morgan Stanley Smith Barney
    Tacoma, WA
  • 01/2015 → 03/2018
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 03/2018 → Present
    Wells Fargo Clearing Services Llc
    Tacoma, WA
Previous Registrations
  • 2009-07-15 → 2018-03-19
    Morgan Stanley
    Tacoma, WA
    Tacoma, WA
  • 2008-07-09 → 2009-03-06
    Banc Of America Investment Services, Inc.
    Seattle, WA
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-07-01
S63 Uniform Securities Agent State Law Examination 1995-12-29
  • S65 Uniform Investment Adviser Law Examination
    2008-07-01
  • S63 Uniform Securities Agent State Law Examination
    1995-12-29

View on SEC IAPD

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