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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_RES 2019-01-09
OK RA APPROVED 2019-01-07
  • TX RA
    APPROVED_RES
    Since 2019-01-09
  • OK RA
    APPROVED
    Since 2019-01-07

Branch Locations

201 N Grand Ste 500, Enid, OK 73701 • 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 Oklahoma City OK 11/2012 01/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 01/2019
Wells Fargo Clearing Services Llc Oklahoma City OK 01/2019 Present
Previous Registrations
  • 2012-11-14 → 2019-01-10
    Oklahoma City, OK
  • 2009-02-25 → 2012-11-13
    San Antonio, TX
    Alamo Heights, TX
    St Louis, MO
    Boerne, TX
  • 2008-07-02 → 2008-11-12
    Dreher Investment Services, Inc.
    San Angelo, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-02-13
S65 Uniform Investment Adviser Law Examination 2008-07-01
  • S66 Uniform Combined State Law Examination
    2009-02-13
  • S65 Uniform Investment Adviser Law Examination
    2008-07-01

View on SEC IAPD

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