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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-17 |
| TX | RA | APPROVED_RES | 2023-08-17 |
Branch Locations
74199 El Paseo Suite 201, Palm Desert, CA 92260 • 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Palm Desert | CA | 08/2011 | 08/2023 |
| City National Bank | Palm Desert | CA | 07/2017 | 08/2023 |
| Morgan Stanley Smith Barney Llc | Palm Desert | CA | 08/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2023 | Present |
*567265 - Desert 2 Beach, LLC; Investment related-No; Palm Desert, California; Rental Property; Officer (proprietor, partner, officer, director, employee, trustee, agent); 06/2013; During business hours: 0; After business hours: 1; Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 2001-10-15 |
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