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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2021-10-11 |
| TX | RA | APPROVED | 2021-09-09 |
Branch Locations
733 Bishop Street Suite 2800, Honolulu, HI 96813 • United States
Honolulu, HI • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Honolulu | HI | 02/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Honolulu | HI | 11/2016 | 09/2021 |
| Morgan Stanley Smith Barney Llc | Honolulu | HI | 09/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2021 | Present |
1 RENTAL PROPERTY, INV-RELATED, HONOLULU, HI, 100% OWNERSHIP; START 04/25/2021, HOURS: 1 PER MONTH - 0 DURING TRADING, DUTIES: LANDLORD.; 2 TRUSTEE FOR MOTHER'S TRUST, INV RELATED, HONOLULU, HI, START: 7/01/2019, 10 HRS/MONTH, 0 HRS DURING TRADING.; 3 TRUSTEE FOR MOTHER IN LAW'S TRUST, INV RELATED, HONOLULU, HI, START: 7/01/2019, 8 HRS/MONTH, 0 HRS DURING TRADING.; 4 TRUSTEE FOR FATHER'S TRUST, INV RELATED, HONOLULU, HI, START: 8/10/2020, 25 HRS/MONTH, 0 HRS DURING TRADING. 5 RENTAL PROPERTY; INVESTMENT RELATED; HONOLULU,HI; 100% OWNERSHIP; START DATE 04/25/2021; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; LANDLORD. 6 *456331- Real Estate; Investment related Yes/No; Honolulu, Hawaii; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 09/2021; During business hours: 0; After business hours: 1; Property Management *488445- Trust; Investment related Yes; Manhattan Beach, California; Trust; Trustee/Co-Trustee; 03/2022; During business hours: 0; After business hours: 15; Estate Administration *625960 - Old Pali Properties LLC; Investment related-Yes; Honolulu, Hawaii; LLC established for estate planning to add real estate and or stocks/bonds/cash assets in the future for the purposes of gifting shares over time to my two children; Member Manager (proprietor, partner, officer, director, employee, trustee, agent); 08/2024 During business hours: 0; After business hours: 0; LLC has one residential second home at this time and has no other activity.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-30 |
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