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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2024-07-17 |
| TX | RA | APPROVED | 2024-07-17 |
Branch Locations
2064 Superior Dr. Nw, Rochester, MN 55901-5024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Rochester | MN | 06/2009 | 07/2024 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 07/2024 |
| Rbc Capital Markets, Llc | Rochester | MN | 07/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2020 | 07/2024 |
(1) NAME OF ENTITY: City of Zumbrota, Minnesota ADDRESS: 175 West Avenue, Zumbrota, MN 55992 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Government Institution START DATE: 02.11.25 CAPACITY: committee member DUTIES: I will be a volunteer committee member working to generate ideas to assist in getting the swimming pool built. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2) NAME OF ENTITY: The Zumbrota-Mazeppa Independent School District No. 2805 ADDRESS: 705 Mill Street Zumbrota Minnesota 55992 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Government Institution START DATE: Jul 20, 2026 CAPACITY: Elected Offical DUTIES: Attend regular school board meetings, work on select committees and oversee general school conditions. HOURS DEVOTED PER MONTH: 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-20 |
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