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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-10-08 |
| PA | RA | APPROVED | 2024-10-03 |
Branch Locations
111 North Washington Avenue Suite 201, Scranton, PA 18503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Scranton | PA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Scranton | PA | 11/2016 | 10/2024 |
| Morgan Stanley Smith Barney Llc | Scranton | PA | 10/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2024 | Present |
(1) TRUSTEE OF TRUST FOR NIECE'S TRUST / INVESTMENT RELATED / TEQUESTA, FL / START 01-JANUARY-2002 / 1 HOUR DEVOTED PER MONTH / 1 DURING TRADING HOURS. (2) TRUSTEE OF TRUST FOR NIECE'S TRUST / INVESTMENT RELATED / TEQUESTA, FL / START 01-JANUARY-2002 / 1 HOUR DEVOTED PER MONTH / 1 DURING TRADING HOURS. (3) RENTAL PROPERTY / INVESTMENT RELATED / TEQUESTA, FL / 50% OWNERSHIP / START APRIL 2015 / 1 HOUR DEVOTED PER MONTH / 0 DURING TRADING HOURS / OWNER. (4) RENTAL PROPERTY / INVESTMENT RELATED / CLARKS SUMMITT, PA / 50% OWNERSHIP / START 30-JUNE-2016 / 2 HOURS DEVOTED PER MONTH / 0 DURING TRADING HOURS / LANDORD. (5) UNIVERSITY OF SCRANTON / INVESTMENT RELATED / SCRANTON, PA / BOARD OF TRUSTEES / FINANCE COMMITTEE / START 01-JUNE-2023 / 5 HOURS DEVOTED PER MONTH / 5 DURING TRADING HOURS / ATTENDING MEETINGS, DISCUSSING UNIVERSITY OPERATIONS, BUDGETS, AUDITS, ADVANCEMENT, CURRICULUM, ENROLLMENT, AND EMPLOYMENT. *613482- University of Scranton; Investment related: No; Scranton, Pennsylvania; Education; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 09/2020; During business hours: 3; After business hours: 2; Fundraising, Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-03-30 |
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