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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-06-11 |
| NC | RA | APPROVED | 2023-09-22 |
| TX | RA | APPROVED | 2023-09-22 |
Branch Locations
5251 Dtc Parkway Suite 1500, Greenwood Village, CO 80111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pacific Investment Management Co Llc | New York | NY | 01/2011 | 06/2017 |
| Pimco Investments Llc | New York | NY | 02/2011 | 06/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chapel Hill | NC | 07/2019 | 09/2023 |
| Unemployed | Chapel Hill | NC | 04/2017 | 07/2019 |
| Bank Of America, N.A. | Chapel Hill | NC | 09/2019 | 09/2023 |
| Morgan Stanley Smith Barney Llc | Greenwood Village | CO | 09/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-06 |
| S65 | Uniform Investment Adviser Law Examination | 1992-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-13 |
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