Patrick Paul Shannon

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
CA	RA	APPROVED	2020-06-10
TX	RA	APPROVED	2020-06-10

CA RA
APPROVED

Since 2020-06-10
TX RA
APPROVED

Since 2020-06-10

Branch Locations

555 California St 24Th Fl, San Francisco, CA 94104 • United States

Disclosures

2 disclosure categories 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Oakland	CA	06/2009	06/2020
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	06/2020
Wells Fargo Clearing Services, Llc	San Francisco	CA	06/2020	Present

06/2009 → 06/2020

Morgan Stanley Smith Barney Llc

Oakland, CA
01/2015 → 06/2020

Morgan Stanley Private Bank, N.A.

New York, NY
06/2020 → Present

Wells Fargo Clearing Services, Llc

San Francisco, CA

Previous Registrations

2009-06-01 → 2020-06-18

Morgan Stanley

Oakland, CA
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Redding, CA

Oakland, CA
1997-07-08 → 2007-04-02

Morgan Stanley Dw Inc.

Redding, CA

Redding, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-06-08
S63	Uniform Securities Agent State Law Examination	1989-03-27

S65 Uniform Investment Adviser Law Examination

1995-06-08
S63 Uniform Securities Agent State Law Examination

1989-03-27

Other Names

Patrick Paul Shannon
Patrick Paul Shannon
Patrick Paul Shannon Sr
Patrick Paul Shannon Sr.
Patrick Shannon

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews