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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-06-04 |
| TX | RA | APPROVED | 2022-10-03 |
Branch Locations
555 California Street 35Th Floor, San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Austin | TX | 10/2009 | 10/2022 |
| Bank Of America, N.A. | Austin | TX | 06/2011 | 10/2022 |
| Morgan Stanley Smith Barney Llc | San Francisco | CA | 10/2022 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 10/2022 | Present |
Seton Women's Development Board / Non-Investment Related / Austin, TX / Charitable Organization / Committee Member / Start 17-May-2019 / 1 Hour Devoted Monthly / 1 Hour During Trading / Seton Hospital Williamson County not for profit hospital / Charity fund raising for medical equipment and medical needs of Seton Hospital. Annual Gala assist with sponsors, development and structure of the annual gala. A Gift of Time / Non-Investment Related / Georgetown, TX / Charitable Organization / Advisory Board Member / Start 07/01/2020 / 1 Hour Devoted Monthly / 0 During Trading Hours / Non-paid volunteer / Board of Directors / Assist with helping to establish a non-profit adult day care for Alzheimer's in the Georgetown Community.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-29 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-29 |
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