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915 Highland Point Drive, Ste. 250, Roseville, CA 95678 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-04-30 |
| CA | RA | APPROVED | 2018-11-05 |
Branch Locations
915 Highland Pointe Drive, Ste. 250, Roseville, CA 95678 • 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 |
|---|---|---|---|---|
| Morgan Stanley | Rossville | CA | 06/2009 | 11/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2018 |
| Kingswood Capital Partners, Llc | San Diego | CA | 11/2018 | Present |
| Dimensions Wealth Management | Roseville | CA | 11/2018 | Present |
1) Estate Planning Team. Not investment related. Roseville, CA. Position: Financial Advisor. Start Date: 3/7/2019. Approximate hours per month devoted to other business: 8. Approximate hours per month during securities trading hours: 8. Duties: Represent and market the deferred sales Trust Prospect for potential clients and explain the strategy.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-11 |
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