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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-02-19 |
| IN | RA | APPROVED | 2018-12-12 |
Branch Locations
4100 Edison Lakes Parkway Suite 200, Mishawaka, IN 46545 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | South Bend | IN | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | South Bend | IN | 11/2016 | 12/2018 |
| Morgan Stanley | Mishawaka | IN | 12/2018 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2018 | Present |
*361340- Graham Farms, Inc.; Investment related-No; Washington, Indiana; Agriculture, Family Farming and Farm Development operation; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 11/1994; During business hours: 0; After business hours: 2; Attend quarterly Board Meetings to discuss detailed farming/realestate development of the farm. *361341- GFI Investments, LLC; Investment related-No; Washington, Indiana; Agriculture, Other; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 08/1999; During business hours: 0; After business hours: 2; Board Member, Attend quarterly Board meetings to discuss farming operation/real estate development of the Farm.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-29 |
| S63 | Uniform Securities Agent State Law Examination | 1991-01-30 |
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