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Shawn P Travers

Morgan Stanley

San Rafael, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-03-25
CA RA APPROVED 2018-04-26
  • TX RA
    APPROVED_RES
    Since 2019-03-25
  • CA RA
    APPROVED
    Since 2018-04-26

Branch Locations

1101 5Th Avenue Suite 275, San Rafael, CA 94901 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Walnut Creek CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Walnut Creek CA 11/2016 01/2018
Morgan Stanley Smith Barney Llc San Rafael CA 04/2018 Present
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Walnut Creek, CA
  • 11/2016 → 01/2018
    Wells Fargo Clearing Services, Llc
    Walnut Creek, CA
  • 04/2018 → Present
    Morgan Stanley Smith Barney Llc
    San Rafael, CA
Previous Registrations
  • 2011-01-03 → 2018-02-13
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
    San Leandro, CA
    Walnut Creek, CA
    Walnut Creek, CA
    Santa Rosa, CA
    Walnut Creek, CA
    San Leandro, CA
    Charlotte, NC
  • 2004-03-03 → 2011-01-03
    Wells Fargo Investments, Llc
    Walnut Creek, CA
    San Francisco, CA
    San Francisco, CA
  • 2000-06-29 → 2003-12-19
    Ubs Financial Services Inc.
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-04-04
  • S66 Uniform Combined State Law Examination
    2000-04-04
Other Names
  • Shawn Patrick Travers
  • Shawn Travers

View on SEC IAPD

Other Firms

STIFEL, NICOLAUS & COMPANY, INCORPORATED
HCM WEALTH
O'DONNELL FINANCIAL SERVICES, LLC
MADRONE INVESTMENT ADVISORY, LLC
FIDUCIARY FINANCIAL GROUP, LLC
INDEPENDENT FINANCIAL GROUP, LLC
EDWARD JONES
HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.

Other Investors

MATTHEW AARON HODUS
KENNETH LAURANZANO
Michael J Heckmann
Alexander Joel Heckmann
Peter Albert Goudy
CATHERINE B CHOI
COLIN Edward Austin WELLS
JEFFREY JAMES WELLS

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · SAN RAFAEL, CA
HCM WEALTH · SAN RAFAEL, CA
O'DONNELL FINANCIAL SERVICES, LLC · SAN RAFAEL, CA
MADRONE INVESTMENT ADVISORY, LLC · SAN RAFAEL, CA
FIDUCIARY FINANCIAL GROUP, LLC · SAN RAFAEL, CA
INDEPENDENT FINANCIAL GROUP, LLC · San Rafael, CA
EDWARD JONES · San Rafael, CA
HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC. · SAN RAFAEL, CA

More in San Rafael, CA

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