|Other Names:||Jeffrey Richard Baker|
Jeffrey Kratz is a financial professional at Wells Fargo Advisors, LLC, a broker-dealer with over 26,000 registered representatives nationwide. Jeffrey has held an industry securities registration for 32 years and is subject to SEC and FINRA oversight.
Top AnswersJeffrey Richard Kratz has not answered any questions on Financial Q&A.
|Other Investment Advisors|
|Pension and Profit Sharing Plans|
|Banking or Thrift Institutions|
|Corporations or Other Businesses|
|State or Municipal Government Entities|
|High Net Worth Individuals|
|Business Development Companies|
|Other Pooled Investment Vehicles|
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|Wells Fargo Advisors, LLC (19616)||4 years, 10 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|
No Disclosures Found
3 Customer Disputes
1 Regulatory Event
|As of Date||
*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.
|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|
Types of Compensation Arrangements
- Percentage of Assets
- Hourly Charges
- Fixed Fees