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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2019-11-21 |
| TX | RA | APPROVED | 2019-11-08 |
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 | Barrington | IL | 03/2012 | 11/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2019 |
| Stifel Nicolaus & Co Inc | Barrington | IL | 11/2019 | Present |
Gary L Phelps; 1430 W Longwood Dr Bull Valley IL 60098; Notary Public; Notarizing; I notarize for clients only; 03/17/2020; 0.00hrs/day; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-29 |
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