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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 2022-12-14
UT RA APPROVED 2022-12-14
  • TX RA
    APPROVED
    Since 2022-12-14
  • UT RA
    APPROVED
    Since 2022-12-14

Branch Locations

299 S Main St 7Th Fl, Salt Lake City, UT 84111 • 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 Salt Lake City UT 03/2010 12/2022
Morgan Stanley Private Bank, National Association New York NY 01/2015 12/2022
Wells Fargo Clearing Services, Llc Salt Lake City UT 12/2022 Present
  • 03/2010 → 12/2022
    Morgan Stanley Smith Barney
    Salt Lake City, UT
  • 01/2015 → 12/2022
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 12/2022 → Present
    Salt Lake City, UT
Previous Registrations
  • 2010-07-12 → 2022-12-16
    Salt Lake City, UT
    Salt Lake City, UT
    Ogden, UT
    Salt Lake City, UT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-08
  • S66 Uniform Combined State Law Examination
    2010-07-08

View on SEC IAPD

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