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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2021-05-14 |
| AL | RA | APPROVED | 2019-09-17 |
Branch Locations
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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Huntsville | AL | 06/2009 | 09/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2019 |
| Wells Fargo Clearing Services, Llc | Huntsville | AL | 09/2019 | Present |
HAVEN FARMS, NOT INVT RELATED, HAZELGREEN, AL, 100% OWNERSHIP, START DATE 12/14/2018, 100 HRS PER MONTH, 0 HRS DURING TRADING, OPERATING THE HORSE FARM.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-08 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-25 |
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