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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2022-03-15 |
| NC | RA | APPROVED | 2022-02-22 |
| TX | RA | APPROVED | 2022-02-11 |
Branch Locations
4064 Colony Road Suite 460, Charlotte, NC 28211 • United States
1747 Pennsylvania Ave Nw Suite 900, Washington, DC 20006 • United States
6805 Carnegie Boulevard Suite 400, Charlotte, NC 28211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Concord | NC | 11/1983 | 02/2022 |
| Wells Fargo Advisors Llc | Concord | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Concord | NC | 11/2016 | 02/2022 |
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 02/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 03/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2008-07-14 |
| S66 | Uniform Combined State Law Examination | 1999-08-12 |
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