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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-01-15 |
| TX | RA | APPROVED | 2021-01-15 |
Branch Locations
225 West Santa Clara Street Suite 900, San Jose, CA 95113 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | San Jose | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 11/2016 | 01/2021 |
| Morgan Stanley Smith Barney Llc | San Jose | CA | 01/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2021 | Present |
* 422733 - Rental Property ; Investment related Yes; Rancho Cordova, CA; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); September 2018; During business hours: 0; After business hours: 1.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-12 |
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