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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-05-22 |
| CA | RA | APPROVED | 2023-05-03 |
Branch Locations
3660 State St [Lh-Rbo], Santa Barbara, CA 93105 • United States
433 N Camden Dr 9Th & 12Th Fls [La-Rbo], Beverly Hills, CA 90210 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Beverly Hills | CA | 02/2016 | 03/2023 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 02/2016 | 03/2023 |
| First Republic Securities Company, Llc | Los Angeles | CA | 03/2023 | 05/2023 |
| First Republic Investment Management, Inc | Los Angeles | CA | 03/2023 | 05/2023 |
| Wells Fargo Clearing Services, Llc | Beverly Hills | CA | 05/2023 | Present |
UNITED FRIENDS OF THE CHILDREN, INV RELATED, LOS ANGELES, CA, FINANCE COMMITTEE MEMBER, START 1/1/2023, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, DISCUSSING BUDGET INCOME AND EXPENSES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-11 |
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