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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
MS RA APPROVED 2024-08-27
SC RA APPROVED 2019-08-23
TX RA APPROVED_RES 2019-08-23
  • MS RA
    APPROVED
    Since 2024-08-27
  • SC RA
    APPROVED
    Since 2019-08-23
  • TX RA
    APPROVED_RES
    Since 2019-08-23

Branch Locations

15 S Main St 3Rd Fl, Greenville, SC 29601 • United States

499 Gloster Creek Vlg Ste F6A, Tupelo, MS 38801 • United States

Tupelo, MS • 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 Smith Barney Greenville SC 05/2012 08/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 08/2019
Wells Fargo Clearing Services, Llc Greenville SC 08/2019 Present
  • 05/2012 → 08/2019
    Morgan Stanley Smith Barney
    Greenville, SC
  • 01/2015 → 08/2019
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 08/2019 → Present
    Greenville, SC
Previous Registrations
Other Businesses

1. RENTAL PROPERTY; INV. RELATED; PIGEON FORGE, TN; VACATION RENTAL; 65% OWNERSHIP; 8/2021; 2 HRS PER MONTH; 0 HRS DURING TRADING. 2. RENTAL PROPERTY; INV. RELATED; SAVANNAH, TN; VACATION RENTAL; 100% OWNERSHIP; 12/2022; 2 HRS PER MONTH; 0 HRS DURING TRADING. 3. RENTAL PROPERTY; INV. RELATED; SEVIERVILLE, TN; VACATION RENTAL; 100% OWNERSHIP; 11/2017; 2 HRS PER MONTH; 0 HRS DURING TRADING. 4. EDGE PARK LLC, INV RELATED, SEIVIERVILLE, TN, 65% OWNERSHIP, START 6/1/2019, 2 HOURS PER MONTH, ZERO DURING TRADING, PASSIVE OWNERSHIP IN VACATION RENTAL PROPERTY. 5. LAUREL COVE, LLC, INVT RELATED, SEVIERVILLE, TN, 100% OWNERSHIP, START DATE 11/1/2017, 2 HRS PER MONTH, 0 HRS DURING TRADING, PASSIVE OWNER. 6. QUIET OAK, LLC, INVT RELATED, SAVANNAH, TN, 100% OWNERSHIP, START DATE 3/1/2023, 1 HR PER MONTH, 0 HRS DURING TRADING, LLC FOR RENTAL PROPERTY. 7.ALPINE MOUNTAIN LLC; INV. RELATED; SOUTH CAROLINA; OWNER; VACATION RENTAL PROOPERTY; START DATE JUNE 2018; 0 HRS PER MOTNH; 0 HRS DURING TRADING. 8.ROCKY TOP LODGE LLC, INV RELATED, SEVIERVILLE, TN, 100% OWNERSHIP, START 11/1/2018, 2 HOURS PER MONTH, ZERO DURING TRADING, PASSIVE OWNERSHIP IN VACATION RENTAL PROPERTY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-22
S63 Uniform Securities Agent State Law Examination 1999-05-24
  • S66 Uniform Combined State Law Examination
    2006-12-22
  • S63 Uniform Securities Agent State Law Examination
    1999-05-24
Other Names
  • Chris Hallmark

View on SEC IAPD

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