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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-07-01
NY RA APPROVED 2024-03-08
CT RA APPROVED 2024-02-13
  • NJ RA
    APPROVED
    Since 2024-07-01
  • NY RA
    APPROVED
    Since 2024-03-08
  • CT RA
    APPROVED
    Since 2024-02-13

Branch Locations

230 Park Ave [Satellite], New York, NY 10169 • United States

1700 E Putnam Ave Ste 200, Old Greenwich, CT 06870 • 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 New York NY 06/2009 02/2024
Morgan Stanley Private Bank, National Association New York NY 01/2015 02/2024
Wells Fargo Advisors Financial Network, Llc Old Greenwich CT 02/2024 Present
  • 06/2009 → 02/2024
    Morgan Stanley Smith Barney
    New York, NY
  • 01/2015 → 02/2024
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 02/2024 → Present
    Old Greenwich, CT
Previous Registrations
  • 2020-05-18 → 2023-12-14
    New York, NY
    New York, NY
    New York, NY
    New York, NY
Other Businesses

SOUTHARD FIRE DEPT, NOT INV RELATED, HOWELL, NJ, VOLUNTEER FIREFIGHTER, DESK OFFICE ASSISTANT CHAPLAIN, START 7/7/22, 30 HRS PER MONTH, 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-10
S63 Uniform Securities Agent State Law Examination 1989-08-31
  • S66 Uniform Combined State Law Examination
    2022-01-10
  • S63 Uniform Securities Agent State Law Examination
    1989-08-31

View on SEC IAPD

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