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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2023-04-19 |
| TX | RA | APPROVED | 2017-07-20 |
Branch Locations
2800 Post Oak Blvd Suite 3200, Houston, TX 77056 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Roswell | NM | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Roswell | NM | 11/2016 | 07/2017 |
| Morgan Stanley | Houston | TX | 07/2017 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 09/2017 | Present |
*417268 - Career and Recovery Resources, Inc.; Investment related: No; Houston, Texas; Non-Profit; Board Member, Advisory Board, Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); 01/2021; During business hours: 2; After business hours: 18; Other
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 2005-03-17 |
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