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1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-03-18 |
| MI | RA | APPROVED | 2026-03-16 |
| HI | RA | APPROVED | 2026-03-11 |
| CA | RA | APPROVED | 2026-02-27 |
| MN | RA | APPROVED | 2026-02-19 |
| TX | RA | APPROVED_RES | 2026-02-18 |
Branch Locations
1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States
3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co. Incorporated | Minneapolis | MN | 08/2008 | 10/2017 |
| Morgan Stanley Smith Barney | Minneapolis | MN | 06/2009 | 10/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2017 |
| Rbc Capital Markets, Llc | Minnetonka | MN | 10/2017 | 12/2025 |
| City National Bank | Minnetonka | MN | 06/2018 | 12/2023 |
| Aegis Capital Corp | Edina | MN | 02/2026 | Present |
1) NAME OF ENTITY: Trans-Mississippi Golf Association ADDRESS: 4475 Trinity Mills Road, Suite 702526, Dallas, TX 75287 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 11.04.24 CAPACITY: Director DUTIES: Donate money annually. To contact country clubs in my region to ask them to gift money to the TMGA Turf-grass fund in exchange for fully paid summer interns for the grounds keeping staff of the respective Country Club. Assist with at least one of the four golf tournaments held by the organization each year. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-17 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-13 |
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