Juan Ley, financial advisor Tucson AZ
86 score

Juan Ley

CRD Number: 2971543
Current Firm: Wells Fargo Advisors, LLC

Juan Ley (CRD# 2971543) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Tucson, AZ and has over 18 years of experience in the finance industry. Juan Ley has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Wells Fargo Advisors, LLC Tucson, AZ Feb 2015 - Current 1
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Feb 2015 < 1
Morgan Stanley Smith Barney Tucson, AZ Jun 2009 - Feb 2015 5
Morgan Stanley & Company, Incorporated Tucson, AZ Apr 2007 - Feb 2015 7
Dean Witter Reynolds Inc. Tucson, AZ Oct 1997 - Apr 2007 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1997
S65 NASAA Investment Advisors Law Examination Jan 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Juan Ley
Phone Number: 314-875-3000
Registered State(s):
  • AZ
  • TX
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
86

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