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Ray Franklin Kauffman

Wells Fargo Clearing Services, LLC

Charlottesville, 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
VA RA APPROVED 2017-09-28
  • VA RA
    APPROVED
    Since 2017-09-28

Branch Locations

100 E South St, Charlottesville, VA 22902 • 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 Richmond VA 06/2009 09/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2017
Wells Fargo Clearing Services, Llc Charlottesville VA 09/2017 Present
Previous Registrations
  • 2009-06-01 → 2017-10-02
    Morgan Stanley
    Charlottesville, VA
    Richmond, VA
    Charlottesville, VA
  • 2008-08-22 → 2009-06-01
    Morgan Stanley & Co. Llc
    Charlottesville, VA
    Richmond, VA
  • 2008-01-01 → 2008-09-15
    Wells Fargo Clearing Services, Llc
    Charlottesville, VA
  • 1989-06-23 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Charlottesville, VA
    Lexington, VA
    St. Louis, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-01-30
S63 Uniform Securities Agent State Law Examination 1987-07-24
  • S65 Uniform Investment Adviser Law Examination
    2018-01-30
  • S63 Uniform Securities Agent State Law Examination
    1987-07-24

View on SEC IAPD

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