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Information

Other Names: Jeffrey Richard Baker
Firm:
Type: Dual Registration
Description

Jeffrey Kratz is a financial professional at Wells Fargo Advisors, LLC, a broker-dealer with over 26,100 registered representatives nationwide. Jeffrey has held an industry securities registration for 32 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Jeffrey Richard Kratz has not answered any questions on Financial Q&A.

Top Guides

Jeffrey Richard Kratz has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Other Investment Advisors
Business Development Companies
State or Municipal Government Entities
Corporations or Other Businesses
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Wells Fargo Advisors, LLC (19616) 4 years, 11 months May 2009 - Present
Wachovia Securities, LLC 4 months Jan 2009 - May 2009
Morgan Stanley & Co., Incorporated 1 year, 9 months Apr 2007 - Jan 2009
Dean Witter Reynolds Inc. 22 years, 7 months Sep 1984 - Apr 2007
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/02/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

3 Customer Disputes

1 Termination

1 Regulatory Event

As of Date
01/02/2013
08/12/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 02/17/2009
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 09/19/1989
National Commodity Futures Examination Series 3 08/19/1986
Uniform Securities Agent State Law Examination Series 63 04/20/1981
General Securities Representative Examination Series 7 04/11/1981

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions