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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2025-10-03 |
| IA | RA | APPROVED | 2025-07-21 |
| TX | RA | APPROVED_RES | 2025-05-02 |
| CA | RA | APPROVED | 2025-05-01 |
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 |
|---|---|---|---|---|
| Morgan Stanley | Santa Barbara | CA | 06/2009 | 06/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 06/2020 |
| Stifel Nicolaus & Co Inc | Santa Barbara | CA | 06/2020 | 05/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Barbara | CA | 05/2025 | Present |
| Bank Of America, N.A. | Santa Barbara | CA | 06/2025 | Present |
I*: 2497386Entity Type: CharitableName of OBA: Opera Santa BarbaraAddress: Santa Barbara, CA 93101Investment Related: NoPosition, Title, Association: Board member Employee Start Date: 07/01/2022Number of Hours: 5 hrs mthlyNumber of Hours during trading: 2 hrs mthly Duties: Attend board meetings I*2733262, Entity Type: , Name of OBA: B C W TTEE M T W TTEE U/A 3/9/2023 , Address: Santa Barbara, California, 93103, Investment Related: N, Position, Title, Association: Co-Trustee, Employee State Date: 08/12/2025, No Hours: 3 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-29 |
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