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Marcy Morgan

Wells Fargo Clearing Services, LLC

Tarpon Springs, FL

Melville, NY

CRD 3152450

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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
CT RA APPROVED 2024-03-26
  • CT RA
    APPROVED
    Since 2024-03-26

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • 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
Deutsche Bank Securities Inc New York NY 09/2012 02/2017
Db Trust Company Americas New York NY 05/2007 02/2017
Wells Fargo Clearing Services, Llc New York NY 04/2018 04/2021
Wells Fargo Bank New York NY 06/2017 04/2021
Unemployed New York NY 02/2017 06/2017
First Republic Bank New York NY 04/2021 01/2022
First Republic Securities Company, Llc New York NY 04/2021 01/2022
Bny Mellon Greenwich CT 01/2022 12/2023
Bny Mellon Securities Corporation Greenwich CT 01/2022 12/2023
Wells Fargo Clearing Services Greenwich CT 12/2023 Present
Wells Fargo Bank Greenwich CT 12/2023 Present
  • 09/2012 → 02/2017
    Deutsche Bank Securities Inc
    New York, NY
  • 05/2007 → 02/2017
    Db Trust Company Americas
    New York, NY
  • 04/2018 → 04/2021
    Wells Fargo Clearing Services, Llc
    New York, NY
  • 06/2017 → 04/2021
    Wells Fargo Bank
    New York, NY
  • 02/2017 → 06/2017
    Unemployed
    New York, NY
  • 04/2021 → 01/2022
    First Republic Bank
    New York, NY
  • 04/2021 → 01/2022
    First Republic Securities Company, Llc
    New York, NY
  • 01/2022 → 12/2023
    Bny Mellon
    Greenwich, CT
  • 01/2022 → 12/2023
    Bny Mellon Securities Corporation
    Greenwich, CT
  • 12/2023 → Present
    Wells Fargo Clearing Services
    Greenwich, CT
  • 12/2023 → Present
    Wells Fargo Bank
    Greenwich, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-25
S63 Uniform Securities Agent State Law Examination 2013-11-18
  • S66 Uniform Combined State Law Examination
    2024-03-25
  • S63 Uniform Securities Agent State Law Examination
    2013-11-18
Other Names
  • Marcy Morgan
  • Marcy Curran
  • Marcy Renee Nagel
  • Marcy Nagel
  • Marcy Renee Nagel

View on SEC IAPD

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