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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2019-03-06 |
| TX | RA | APPROVED | 2019-03-06 |
Branch Locations
1801 California Street Suite 3900, Denver, CO 80202-5822 • United States
Denver, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney, Llc | Boulder | CO | 07/2009 | 03/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 03/2019 |
| Rbc Capital Markets, Llc. | Denver | CO | 03/2019 | Present |
| City National Bank | Denver | CO | 06/2019 | Present |
(1) NAME OF ENTITY: LAST SECOND STRINGING; ADDRESS: 549 COOK STREET; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: TENNIS RACQUET STRINGING; CAPACITY: SOLE PROPRIETOR; START DATE: 11/2019; DUTIES: RACQUET STRINGING; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (2) Name: EPIC - Exec's Partnering to Invest in Children Address: 711 Park Avenue West Denver, CO 80205 Business Description: Non Profit seeking to help early childhood education Business is not investment related Projected Start Date: 08/01/20 Capacity: Board of Directors *, Committee/Council Member (not associated with the Board of Directors) Duties Performed: Vote on policies the organization supports with respect to early childhood education. Devoted to this OBA per Month: 0-3 Hours depending on policy items Hours Devoted to this OBA during business hours: 2 3) NAME OF ENTITY: GABPHIE, LLC ADDRESS: 549 Cook St, Denver CO 80206 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: It is not a business, it is an LLC to hold a home for my daughter CAPACITY: Other, Managing member of the LLC START DATE: 05.18.23 DUTIES: Hold the property and gift them shares of the LLC each year HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-09-15 |
| S65 | Uniform Investment Adviser Law Examination | 1999-09-15 |
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