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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2022-01-04 |
| FL | RA | APPROVED | 2021-07-19 |
| TX | RA | APPROVED_RES | 2021-07-17 |
Branch Locations
2 North Tamiami Trail Suite 1100, Sarasota, FL 34236 • United States
Charleston, SC • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Washington | DC | 10/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Sarasota | FL | 11/2016 | 07/2021 |
| Morgan Stanley Smith Barney Llc | Sarasota | FL | 07/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2021 | Present |
*471258 - Duncan & Daly LLC; Investment related Yes; Charleston, South Carolina; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2022; During business hours: 0; After business hours: 2; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 1988-01-08 |
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