Best Investors Account Sign in

Jeffrey Allan Ockwood

Wells Fargo Clearing Services, LLC

Sister Bay, WI

Frisco, TX

Claim This Profile
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
WI RA APPROVED 2025-09-18
TX RA APPROVED 2018-07-20
  • WI RA
    APPROVED
    Since 2025-09-18
  • TX RA
    APPROVED
    Since 2018-07-20

Branch Locations

11657 Beach Rd [Vacation/Secondary Home], Sister Bay, WI 54234 • United States

17 Cowboys Way Ste 500, Frisco, TX 75034 • 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 Plano TX 06/2009 07/2018
Morgan Stanley Private Bank, National Association New York NY 01/2015 07/2018
Wells Fargo Clearing Services Llc Plano TX 07/2018 Present
Previous Registrations
  • 2009-06-01 → 2018-07-25
    Morgan Stanley
    Plano, TX
    Plano, TX
  • 2009-04-16 → 2009-06-01
    Morgan Stanley & Co. Llc
    Plano, TX
  • 2003-07-01 → 2009-04-17
    Wells Fargo Clearing Services, Llc
    Plano, TX
    Plano,, TX
  • 2000-08-21 → 2003-07-01
    Prudential Equity Group, Llc
    Plano, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-20
S63 Uniform Securities Agent State Law Examination 1987-05-27
  • S65 Uniform Investment Adviser Law Examination
    1996-06-20
  • S63 Uniform Securities Agent State Law Examination
    1987-05-27

View on SEC IAPD

Other Firms

SUGAR MAPLE ASSET MANAGEMENT, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
EDWARD JONES
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
NICOLET WEALTH MANAGEMENT
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Other Investors

JEREMY PAUL SCHWAB
TERRENCE MICHAEL JACK
AMY ELLEN ZELLNER
JORDAN C BECK
ALAN MARK DEWITT
LEIGH M HOWELL
Nicole Leigh Ehlert
Ian Charles Wetzel

Other Offices

SUGAR MAPLE ASSET MANAGEMENT, LLC · SISTER BAY, WI
AMERIPRISE FINANCIAL SERVICES, LLC · MENOMINEE, MI
EDWARD JONES · MENOMINEE, MI
LPL FINANCIAL LLC · MENOMINEE, MI
STATE FARM INVESTMENT MANAGEMENT CORP. · Menominee, MI
LPL FINANCIAL LLC · MENOMINEE, MI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Menominee, MI
EDWARD JONES · MENOMINEE, MI

More in Sister Bay, WI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor