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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-11 |
| CA | RA | APPROVED | 2020-02-18 |
Branch Locations
1216 State Street Suite 500, Santa Barbara, CA 93101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Santa Barbara | CA | 03/2011 | 02/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 02/2020 |
| Raymond James & Associates, Inc | Santa Barbara | CA | 02/2020 | Present |
(1)Name of Business: Jocelyne Tufts; Rowe Family Address: Activity Type: Loans - Personal to and from individuals Position/Title: Borrower Investment Related: No Start Date: 06/05/2020 Hours per month devoted to this business: Hours per month devoted to this business during trading hours: Description of duties: Loan from my Mother-In-Law to my wife and me.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 2001-04-27 |
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