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Robert Frederick Frakes

Wells Fargo Clearing Services, LLC

Harrisonburg, VA

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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
TX RA APPROVED 2018-06-19
VA RA APPROVED 2018-06-19
  • TX RA
    APPROVED
    Since 2018-06-19
  • VA RA
    APPROVED
    Since 2018-06-19

Branch Locations

2011 Evelyn Byrd Ave, Harrisonburg, VA 22801 • 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 Harrisonburg VA 06/2009 06/2018
Morgan Stanley Private Bank, National Association New York NY 01/2015 06/2018
Morgan Stanley Harrisonburg VA 09/2015 06/2018
Wells Fargo Clearing Services Llc Harrisonburg VA 06/2018 Present
  • 06/2009 → 06/2018
    Morgan Stanley Smith Barney
    Harrisonburg, VA
  • 01/2015 → 06/2018
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 09/2015 → 06/2018
    Morgan Stanley
    Harrisonburg, VA
  • 06/2018 → Present
    Wells Fargo Clearing Services Llc
    Harrisonburg, VA
Previous Registrations
  • 2009-06-01 → 2018-06-20
    Morgan Stanley
    Harrisonburg, VA
  • 2006-02-21 → 2009-06-01
    Citigroup Global Markets Inc.
    Harrisonburg, VA
    Harrisonburg, VA
    Harrisonburg, VA
  • 2000-08-24 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Harrisonburg, VA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-10-05
S63 Uniform Securities Agent State Law Examination 1986-04-24
  • S65 Uniform Investment Adviser Law Examination
    1992-10-05
  • S63 Uniform Securities Agent State Law Examination
    1986-04-24
Other Names
  • Rob Frakes

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · HARRISONBURG, VA
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · HARRISONBURG, VA
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