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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-23 |
| CA | RA | APPROVED | 2016-12-09 |
Branch Locations
800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • United States
1999 Avenue Of The Stars Suite 2400, Los Angeles, CA 90067 • United States
Carmel By The Sea, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Newport Beach | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | 12/2016 |
| Morgan Stanley Smith Barney Llc | Newport Beach | CA | 12/2016 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2017 | Present |
| Morgan Stanley Smith Barney Llc | Monterey | CA | 10/2018 | Present |
1. Rental property; Investment related Yes; Rental property; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); May 2019; During business hours: Nil; After business hours: 0.5
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-06-25 |
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