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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-09-01 |
| WA | RA | APPROVED | 2021-09-01 |
Branch Locations
4000 Carillon Point Suite 600, Kirkland, WA 98033 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| D.A. Davidson & Co. | Seattle | WA | 10/2014 | 07/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 07/2017 | 09/2021 |
| Bank Of America, N.A. | Bellevue | WA | 10/2017 | 09/2021 |
| Morgan Stanley Smith Barney Llc | Kirkland | WA | 09/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-23 |
| S63 | Uniform Securities Agent State Law Examination | 2014-12-05 |
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