William Shaw Wick

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2020-10-23
VT	RA	APPROVED	2020-10-15

NC RA
APPROVED

Since 2020-10-23
VT RA
APPROVED

Since 2020-10-15

Branch Locations

Southern Pines, NC • United States

180 Battery St Ste 300, Burlington, VT 05401 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	S. Burlington	VT	07/2008	10/2020
Wells Fargo Clearing Services, Llc.	Burlington	VT	10/2020	Present

07/2008 → 10/2020

Ubs Financial Services Inc

S. Burlington, VT
10/2020 → Present

Wells Fargo Clearing Services, Llc.

Burlington, VT

Previous Registrations

2008-07-03 → 2020-10-23

Ubs Financial Services Inc.

South Burlington, VT

Southern Pines, NC
2007-04-02 → 2008-07-09

Morgan Stanley & Co. Llc

Burlington, VT
1994-12-07 → 2007-04-02

Morgan Stanley Dw Inc.

Burlington, VT

Burlington, VT

Other Businesses

TROUT RIVER PROPERTIES,LLC; NOT INVESTMENT RELATED; NEWPORT,NH; 25% OWNERSHIP; START DATE 09/27/2010; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER OF DEVELOPED LOTS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-04-17
S63	Uniform Securities Agent State Law Examination	1982-07-06

S65 Uniform Investment Adviser Law Examination

1996-04-17
S63 Uniform Securities Agent State Law Examination

1982-07-06

View on SEC IAPD