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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-09-22 |
| CA | RA | APPROVED | 2025-09-19 |
Branch Locations
555 California Street 35Th Floor, San Francisco, CA 94104 • 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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Los Gatos | CA | 09/2016 | 05/2017 |
| Citibank | San Francisco | CA | 05/2017 | 09/2025 |
| Morgan Stanley Smith Barney Llc | San Francisco | CA | 09/2025 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2025 | Present |
(2) Uniqorn Capital LLC / Investment Related / Los Altos, CA / Private Investment Entity / Owner / Start 20-October-2023 / 1-5 hours devoted per month / 0 during trading / review and maintain investment and invest. (3) *665845- Disney Retreat Properties LLC; Investment related: Yes; Las Vegas, Nevada; Rental Property:Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 03-2026; During business hours: 0; After business hours: 32; Property Management *665848- Smoky Mountain Rentals LLC; Investment related: Yes; Las Vegas, Nevada; Rental Property; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 03/2026; During business hours: 0; After business hours: 30; Property Management
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-19 |
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