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Maxwell J Morgan

Wells Fargo Clearing Services, LLC

Peoria, AZ

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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
AZ RA APPROVED 2023-03-27
TX RA APPROVED 2023-03-22
  • AZ RA
    APPROVED
    Since 2023-03-27
  • TX RA
    APPROVED
    Since 2023-03-22

Branch Locations

16165 N 83Rd Ave Ste 140, Peoria, AZ 85382 • 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
The Vanguard Group, Inc. Scottsdale AZ 01/2017 11/2019
Vivint Provo UT 10/2015 11/2016
Morgan Stanley Peoria AZ 11/2019 03/2023
Morgan Stanley Private Bank, N.A New York NY 06/2022 03/2023
Wells Fargo Clearing Services, Llc Peoria AZ 03/2023 Present
Morgan Stanley Private Bank, N.A New York NY 06/2022 Present
  • 01/2017 → 11/2019
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 10/2015 → 11/2016
    Vivint
    Provo, UT
  • 11/2019 → 03/2023
    Morgan Stanley
    Peoria, AZ
  • 06/2022 → 03/2023
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 03/2023 → Present
    Wells Fargo Clearing Services, Llc
    Peoria, AZ
  • 06/2022 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-10-31
S63 Uniform Securities Agent State Law Examination 2017-02-22
  • S65 Uniform Investment Adviser Law Examination
    2018-10-31
  • S63 Uniform Securities Agent State Law Examination
    2017-02-22
Other Names
  • Max Morgan
  • Max Morgan
  • Maxwell Morgan
  • Maxwell Jaques Morgan

View on SEC IAPD

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Other Offices

CLARUS WEALTH ADVISORS, LLC · PEORIA, AZ
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EDWARD JONES · SUN CITY, AZ
J.P. MORGAN SECURITIES LLC · PEORIA, AZ
TACTIVE ADVISORS, LLC · Peoria, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PEORIA, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PEORIA, AZ
KINGDOM FINANCIAL GROUP, LLC · PEORIA, AZ

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