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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-04 |
| TX | RA | APPROVED | 2023-01-04 |
Branch Locations
Long Beach, CA • United States
1901 Main Street Suite 700, Irvine, CA 92614 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 12/1997 | 10/2016 |
| E*Trade Securities Llc | Costa Mesa | CA | 01/2017 | 02/2020 |
| E*Trade Capital Management Llc | Costa Mesa | CA | 01/2017 | 02/2020 |
| E*Trade Securities Llc | Irvine | CA | 02/2020 | Present |
| E*Trade Capital Management Llc | Irvine | CA | 02/2020 | Present |
| Morgan Stanley | Irvine | CA | 01/2023 | 09/2023 |
| Morgan Stanley | Irvine | CA | 09/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2025 | Present |
1)Name of the business - Rental Properties 2)Is the business investment-related - No 3)Address of the other business - Duval County, FL 4)Nature of the other business - Rental Properties 5)Position, title, or relationship with the other business - Owner 6)Start date of your relationship - 9/1/2012 7)Approximate number of hours/month you devote to the other business - 1 hour 8)Number of hours you devote to the other business during securities trading hours -0 hours 9)Duties relating to other Business - Communicate with property management company
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-24 |
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