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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-02-09 |
| TX | RA | APPROVED | 2024-02-09 |
Branch Locations
15169 N Scottsdale Road Suite C340-350 [Satellite], Scottsdale, AZ 85254 • United States
595 Humboldt St Ste 200, Reno, NV 89509 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co., Incorporated | Scottsdale | AZ | 04/2007 | 02/2024 |
| Morgan Stanley Smith Barney | Scottsdale | AZ | 06/2009 | 02/2024 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 02/2024 |
| Wells Fargo Advisors Financial Network, Llc | Scottsdale | AZ | 02/2024 | Present |
2. CT5 LLC; INV. RELATED; SCOTTSDALE, AZ; 100% OWNERSHIP; LLC FOR FINET INCOME; START DATE 2/27/2024; LESS THAN 1 HOUR PER MONTH; 0 HOURS DURING BUSINESS HOURS; DUTIES: BOOKS AND RECORDS. 3. RENTAL PROPERTY; INV. RELATED; PHOENIX, AZ; 50% OWNERSHIP; START DATE 1/1/2020; LESS THAN 1 HOUR PER MONTH; 0 HOURS DURING TRADING. 4. THE TRAVELL LLP; INV. RELATED; SCOTTSDALE, AZ; 50% OWNERSHIP; HOLDS RENTAL PROPERTY; START DATE 2/9/2007; LESS THAN 1 HOUR PER MONTH; 0 HRS DURING TRADING. 5. TMCWM LLC; INV. RELATED; SCOTTSDALE, AZ; 33% OWNERSHIP; FINET PRACTICE; START DATE 2/9/2024; LESS THAN 1 HOUR PER MONTH; 0 HRS DURING BUSINESS HOURS; DUTIES: BUSINESS PARTNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-26 |
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