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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2017-11-02 |
| TX | RA | APPROVED | 2017-11-01 |
Branch Locations
270 E Main St. [Satellite], Los Gatos, CA 95030 • United States
1091 Lincoln Ave, San Jose, CA 95125 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Palo Alto | CA | 06/2009 | 11/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2017 |
| Wells Fargo Advisors Financial Network, Llc | Los Gatos | CA | 11/2017 | Present |
NOTARY PUBLIC; NOT INVESTMENT RELATED; LOS GATOS, CA; START DATE 11/28/17; 4 HOURS PER MONTH / 2 DURING TRADING HOURS. SPENGA LLC, NOT INV RELATED, ORLANDO PARK, IL, 100% OWNERSHIP WITH SPOUSE, START 9/5/2019, ZERO HOURS PER MONTH, ZERO DURING TRADING, FITNESS STUDIO FRANCHISE OWNERSHIP.; DRO CAPITAL LLC, INV RELATED, SAN JOSE, CA, 100% OWNERSHIP, START: 9/17/2019, 160 HRS/MONTH, 7 HRS DURING TRADING, FINET PRACTICE LLC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-30 |
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