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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-01-13 |
| TX | RA | APPROVED_RES | 2022-01-10 |
Branch Locations
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Menlo Park | CA | 05/2002 | 01/2022 |
| Bank Of America, N.A. | San Mateo | CA | 07/2011 | 01/2022 |
| Morgan Stanley Smith Barney Llc | Palo Alto | CA | 01/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 02/2022 | Present |
*482425- Reef Hunters LLC; Investment related Yes; San Francisco, California; Real Estate, Technology; Partner (proprietor, partner, officer, director, employee, trustee, agent); 03/2018; During business hours: 0; After business hours: 1;Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-05 |
| S63 | Uniform Securities Agent State Law Examination | 2001-01-18 |
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