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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-17 |
| NC | RA | APPROVED | 2021-02-12 |
Branch Locations
1055 Military Cutoff Road Suite 200, Wilmington, NC 28405-4367 • United States
Wilmington, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Wilmington | NC | 06/2009 | 02/2021 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 02/2021 |
| Rbc Capital Markets, Llc | Wilmington | NC | 02/2021 | Present |
(1) Name of Entity: A SAFE PLACE Non-Investment related Address of entity: 921 PRINCESS ST. WILMINGTON NC 28401 Nature of OBA: Victim Identification and crisis management Restorative Housing and outreach clinic Education and pr Position/Title/Relationship: Sole Proprietor Start Date: 03/30/23 time Devoted: 2-3 HOURS PER WEEK ; 0 during securities trading hours Duties: May serve on fundraising committees
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-11-26 |
| S63 | Uniform Securities Agent State Law Examination | 1989-01-27 |
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