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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2018-09-06 |
| CA | RA | APPROVED | 2018-08-10 |
| TX | RA | APPROVED_RES | 2018-08-10 |
Branch Locations
400 Capitol Mall Suite 1900, Sacramento, CA 95814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Coral Gables | FL | 01/2014 | 04/2017 |
| Morgan Stanley | Sacramento | CA | 07/2026 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Las Vegas | NV | 04/2017 | 06/2018 |
| Morgan Stanley | Las Vegas | NV | 06/2018 | 06/2026 |
*491384- SMS Ventures, LLC.; Investment related-Yes; Las Vegas, Nevada; Real Estate; Officer:Other (proprietor, partner, officer, director, employee, trustee, agent); 01/2023; During business hours: 0; After business hours: 5; Administrative:Accounting/Bookkeeping:Business Development/Growth:Sales/Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-30 |
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