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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| TX | RA | APPROVED | 2019-11-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Albany | NY | 06/2009 | 11/2019 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 11/2019 |
| Wells Fargo Clearing Services, Llc | Albany | NY | 11/2019 | Present |
INTERNATIONAL ASSOCIATION APPROVED BASKETBALL OFFICIALS, NOT INVT RELATED, CARLISLE, PA, REFEREE, START DATE 12/19/2019, 3 HRS PER MONTH, 0 HRS DURING TRADING, OFFICIATE HIGH SCHOOL BASKETBALL GAMES. ALBANY SYMPHONY ORCHESTRA, INVT RELATED, ALBANY, NY, CHAIR OF THE FINANCE COMMITTEE MEMBER, START DATE 6/1/2023, 6 HRS PER MONTH, 2 HRS DURING TRADING, ATTENDING MEETINGS TO DISCUSS FINANCES, CURRENT FINANCES VS BUDGET, FUTURE FINANCES AND ACTIVITIES VS BUDGET AND INVESTMENT PORTFOLIO BALANCES AND OVERVIEW. CONSULTING WITH TREASURER, OVERSEEING THE PREPARATION OF ANNUAL BUDGET, MONTHLY FINANCIAL REPORT AND INVESTMENTS BY THE FIRM MANAGING THE MONEY.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-12-02 |
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