STEVEN JOHN BRANTNER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 301 W NORTHERN LIGHTS BLVD 5TH FL, STE 501, [WA-RBO], ANCHORAGE, AK, 99503.
STEVEN JOHN BRANTNER has worked at WELLS FARGO CLEARING SERVICES, LLC since January 03, 2011
Disclosure History
STEVEN JOHN BRANTNER has 1 Disclosure Event(s).
Date: June 22, 2007 Category: Employment Separation After Allegations Firm Name: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Termination Type: Discharged Allegations: SEMINAR MATERIALS USED WITHOUT FIRM APPROVAL Broker Comment: IT IS OUR UNDERSTANDING THAT WE HAD SUBMITTED SEMINAR APPROVAL PAPERWORK IN ADVANCE OF THE SEMINAR, INCLUDING COPIES OF THE MATERIALS DISTRIBUTED, AND A COPY OF THE MERRILL LYNCH PRE-APPROVED POWERPOINT PRESENTATION USED WITH MODIFICATIONS. IT IS OUR UNDERSTANDING THAT WE HAD RECEIVED COMPLIANCE APPROVAL TO HOLD THE SEMINAR. WE HAD BEEN USING THE SAME FLYER FOR OUR RETIREMENT WORKSHOP PRESENTATION SERIES FOR OVER TWO YEARS, WITH ONLY SLIGHT VARIATIONS IN TEXT AND LAYOUT, PRIMARILY TO CHANGE DATES AND TIMES.
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