Individual Firm
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KENT ANDREW WELLEY
CRD#: 1437152
IA
B
MORGAN STANLEYCRD#: 149777 1800 Broadway
Suite 120
Boulder, CO 80302
Suite 120
Boulder, CO 80302
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10/31/1991
Customer Dispute
Settled
State Registrations
B
Alabama 8/11/2017
B
Montana 2/26/2025
B
Alaska 12/8/2020
B
Nebraska 8/11/2017
B
Arizona 8/11/2017
B
Nevada 8/11/2017
B
California 8/11/2017
B
New Hampshire 8/11/2017
B
Colorado 8/11/2017
B
New Jersey 8/11/2017
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Colorado 8/11/2017
B
New Mexico 8/11/2017
B
Connecticut 7/24/2023
B
New York 8/11/2017
B
Florida 8/15/2017
B
North Carolina 8/11/2017
B
Georgia 8/11/2017
B
North Dakota 7/18/2022
B
Hawaii 8/11/2017
B
Ohio 7/12/2022
B
Idaho 8/11/2017
B
Oregon 8/11/2017
B
Illinois 8/11/2017
B
Pennsylvania 8/11/2017
B
Indiana 8/11/2017
B
Puerto Rico 8/11/2017
B
Iowa 7/15/2022
B
South Dakota 8/2/2022
B
Kansas 8/11/2017
B
Texas 8/11/2017
B
Louisiana 7/19/2022
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Texas 4/23/2020
B
Maine 7/12/2022
B
Utah 8/11/2017
B
Maryland 7/14/2022
B
Virginia 5/19/2021
B
Massachusetts 2/26/2019
B
Washington 8/11/2017
B
Michigan 8/11/2017
B
Wisconsin 7/12/2022
B
Minnesota 8/11/2017
B
Wyoming 8/11/2017
B
Missouri 9/30/2019
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 8/11/2017
B
Registered with this firm since 8/11/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/04/1999 - 08/14/2017 | BOULDER, CO | |
B | 04/09/1996 - 08/14/2017 | BOULDER, CO | |
B | 03/23/1994 - 03/08/1996 | NEW YORK, NY | |
B | 09/04/1990 - 02/24/1994 | ST. LOUIS, MO | |
B | 11/25/1985 - 09/04/1990 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.