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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-01-22 |
| TX | RA | APPROVED | 2020-01-21 |
Branch Locations
1901 Main Street Suite 700, Irvine, CA 92614 • United States
800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • 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 | Newport Beach | CA | 02/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | 01/2020 |
| Morgan Stanley Smith Barney Llc | Irvine | CA | 01/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-23 |
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