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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2022-02-25 |
| CT | RA | APPROVED | 2016-10-28 |
| TX | RA | APPROVED | 2016-10-28 |
Branch Locations
30 Jelliff Ln 2Nd Fl, Southport, CT 06890 • United States
1990 Main Street Suite 750 [Office Of Convenience], Sarasota, FL 34236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Westport | CT | 06/2009 | 10/2016 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2016 |
| Wells Fargo Advisors Financial Network, Llc | Southport | CT | 10/2016 | Present |
SHEARWATER CREEK WEALTH ADVISORS LLC, INV RELATED, SOUTHPONT, CT, 40% OWNERSHIP, START 250 HOURS PER MONTH, 150 DURING TRADING, FINET PRACTICE.; CO-TRUSTEE FOR SHEARWATER CREEK 401K FBO OF MULTIPLE TEAM MEMBERS, INV RELATED, SOUTHPOINT, CT, START: 10/25/2016, 250 HOURS/MONTH, 150 HRS DURING TRADING, FINET PRACTICE 401K. FAIRFIELD YOUTH FOOTBALL, INVT RELATED, FAIRFIELD, CT, TREASURER, START DATE 1/1/2024, 10 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, HANDLING FINANCES OF ORGANIZATION.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-12 |
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