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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
CA RA APPROVED 2023-12-01
TX RA APPROVED 2023-12-01
  • CA RA
    APPROVED
    Since 2023-12-01
  • TX RA
    APPROVED
    Since 2023-12-01

Branch Locations

301 University Ave 2Nd Fl, Palo Alto, CA 94301 • 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
Ameriprise Financial Services, Inc. Sacramento CA 09/2013 04/2018
Wells Fargo Clearing Services, Llc Palo Alto CA 05/2018 10/2020
Morgan Stanley Smith Barney Llc Palo Alto CA 10/2020 12/2023
Morgan Stanley Private Bank, N.A New York NY 11/2020 12/2023
Wells Fargo Clearing Services, Llc Palo Alto CA 12/2023 Present
Morgan Stanley Private Bank, N.A New York NY 11/2020 Present
  • 09/2013 → 04/2018
    Ameriprise Financial Services, Inc.
    Sacramento, CA
  • 05/2018 → 10/2020
    Palo Alto, CA
  • 10/2020 → 12/2023
    Morgan Stanley Smith Barney Llc
    Palo Alto, CA
  • 11/2020 → 12/2023
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 12/2023 → Present
    Palo Alto, CA
  • 11/2020 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-12-08
  • S66 Uniform Combined State Law Examination
    2017-12-08

View on SEC IAPD

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