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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2022-06-23 |
| CA | RA | APPROVED | 2021-08-10 |
| TX | RA | APPROVED | 2021-08-09 |
Branch Locations
Ten Pointe Drive Suite 400, Brea, CA 92821 • United States
Mackinac Island, MI • United States
444 South Flower Street,34Th Floor, Los Angeles, CA 90071 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, N.A. | Long Beach | CA | 03/1999 | 08/2021 |
| Wells Fargo Advisors Llc | Los Angeles | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 11/2016 | 08/2021 |
| Morgan Stanley Smith Barney Llc | Los Angeles | CA | 08/2021 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 09/2021 | Present |
(1) 451301 - Hubbards Annex Homeowners Association; Not Investment Related; Mackinac Island, MI; Non-Profit; Board Member; Start July 2019; During business hours: 1; After business hours: 1; Accounting, Bookkeeping. (2) 452694 - Trust; Investment Related; San Diego, CA; Start December 1997; During business hours: 1; After business hours: 1.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-16 |
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