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Jeffrey Richard Kratz

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Other Names: Jeffrey Richard Baker
Type: SEC and FINRA Registered

Jeffrey Kratz is a financial professional at Wells Fargo Advisors, LLC, a broker-dealer with over 25,900 registered representatives nationwide. Jeffrey has held an industry securities registration for 34 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Wells Fargo Advisors LLC 6 years, 7 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
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 02/17/2009
General Securities Sales Supervisor Examination (Options Module & GeneralModule)Series 8 09/19/1989
National Commodity Futures ExaminationSeries 3 08/19/1986
Uniform Securities Agent State Law ExaminationSeries 63 04/20/1981
General Securities Representative ExaminationSeries 7 04/11/1981

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

High Net Worth Individuals
Business Development Companies
Other Investment Advisors
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
Insurance Companies

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

Licenses and Conduct

License Status

3 Customer Disputes

1 Termination

1 Regulatory Event

3 Customer Disputes

1 Termination

1 Regulatory Event

As of Date
*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.

Firm Compensation Arrangements

Types of Compensation Arrangements

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