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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-09-06 |
| TX | RA | APPROVED | 2021-05-13 |
Branch Locations
4 Tower Pl Fl 9, Albany, NY 12203 • United States
Scotia, NY • United States
3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2021 |
| Wells Fargo Clearing Services, Llc. | Albany | NY | 05/2021 | Present |
CO-TRUSTEE FOR MOTHER'S TRUST, INV RELATED, SCOTIA, NY, START: 6/10/2021, 1 HR/MONTH, LESS THAN 1 HR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-22 |
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