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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-03 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
55 South Lake Avenue Pasadena Towers - Tower Ii Suite 700, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Pasadena | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1.Institute for Preparing Heirs; Investment related: Yes; Pasadena, CA; training company; Sole Proprietor / Owner / Partner / Co-Founder (proprietor, partner, officer, director, employee, trustee, agent); Apr 2009; During business hours: 0; After business hours: 5; To assist the IPH team with tool development. My role is to assist the IPH team in creating new tools families can use to facilitate wealth transfer conversations (none are investment related). I also speak occasionally on behalf of the Institute as their co-founder to publicly held classes for professional advisors. I do not have an official role with IPH. *430914- Adventist Health Glendale Foundation; Investment related-No; Glendale, California; Health and Welfare; Board Member, Finance Committee , Other Committee (proprietor, partner, officer, director, employee, trustee, agent); 07/2021; During business hours: 0; After business hours: 8; Labor/Service
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-20 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-26 |
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