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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-02-01
TX RA APPROVED 2019-02-01
  • CA RA
    APPROVED
    Since 2019-02-01
  • TX RA
    APPROVED
    Since 2019-02-01

Branch Locations

800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • United States

1999 Avenue Of The Stars Suite 2400, Los Angeles, CA 90067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Newport Beach CA 01/2009 02/2019
Morgan Stanley Smith Barney Llc Newport Beach CA 02/2019 Present
Morgan Stanley Private Bank, N.A. New York NY 02/2019 Present
  • 01/2009 → 02/2019
    Newport Beach, CA
  • 02/2019 → Present
    Morgan Stanley Smith Barney Llc
    Newport Beach, CA
  • 02/2019 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
Other Businesses

1)TALEGA HOMEOWNER'S ASSOCIATION / 100 CALLE ALTEA SAN CLEMENTE,CA 92673 / ASSOCIATION (I.E., TRADE OR INDUSTRY, SPORT...)/ REAL ESTATE / OVERSITE OF THE TALEGA COMMUNITY / ADVISOR OR MEMBER OF AN ADVISORY COMMITTEE, IF THE ADVICE GIVEN WILL OR MAY INFLUENCE THE BOARD OR OTHER SENIOR MANAGEMENT OR SUPERVISORY BOARD OF THE ORGANIZATION IN QUESTION / / PROVIDE OVERSIGHT OF THE GENERAL FUNDS OF THE TALEGA HOMEOWNERS ASSOCIATION / START DATE 09/03/2012 / 3)OPERATION UNDERGROUND RAILROAD / 700 N VALLEY STREET, SUITE B ANAHEIM,CA 92801 / SAVING UNDERAGE CHILDREN FROM SEX SLAVERY / MEMBER OF BOARD OF DIRECTORS / / HELP ADVISE ON RAISING FUNDS AND GETTING MORE EXPOSURE/VISABILITY / START DATE 9/23/2014 4) *419650 - Murrieta Whitewood Multi-Family LLC; Investment related - Yes; Rancho Mission Viejo, California; Real Estate; Partner (proprietor, partner, officer, director, employee, trustee, agent); 12/2020; During business hours: 0; After business hours: 1;Finding buyer of property *592144 - 20 CAPRI LLC; Investment Related - Yes; Sacramento, California; Real Estate; Partner(Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 05/2024; During Business Hours: 0; After Business Hours: 1; Other

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-09
S63 Uniform Securities Agent State Law Examination 2000-07-20
  • S65 Uniform Investment Adviser Law Examination
    2001-07-09
  • S63 Uniform Securities Agent State Law Examination
    2000-07-20

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