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Kenneth John Cariota

Wells Fargo Clearing Services, LLC

Paramus, NJ

Hyannis, MA

Kinnelon, NJ

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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
NJ RA APPROVED 2016-09-01
TX RA APPROVED_RES 2016-09-01
  • NJ RA
    APPROVED
    Since 2016-09-01
  • TX RA
    APPROVED_RES
    Since 2016-09-01

Branch Locations

461 From Road Suite 101, Paramus, NJ 07652 • United States

1513 Iyannough Rd 1St Fl Ste 3, Hyannis, MA 02601 • United States

Kinnelon, NJ • 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
Citigroup Global Markets Inc Paramus NJ 01/2008 09/2016
Morgan Stanley Smith Barney Paramus NJ 06/2009 09/2016
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2016
Wells Fargo Advisors Llc Paramus NJ 09/2016 11/2016
Wells Fargo Clearing Services, Llc Paramus NJ 11/2016 Present
  • 01/2008 → 09/2016
    Citigroup Global Markets Inc
    Paramus, NJ
  • 06/2009 → 09/2016
    Morgan Stanley Smith Barney
    Paramus, NJ
  • 01/2015 → 09/2016
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 09/2016 → 11/2016
    Wells Fargo Advisors Llc
    Paramus, NJ
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Paramus, NJ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-01
S63 Uniform Securities Agent State Law Examination 1986-12-05
  • S65 Uniform Investment Adviser Law Examination
    1992-04-01
  • S63 Uniform Securities Agent State Law Examination
    1986-12-05
Other Names
  • Kenneth J Cariota

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · Paramus, NJ
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WELLS FARGO CLEARING SERVICES, LLC · PARAMUS, NJ
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