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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 | 2017-08-31 |
| TX | RA | APPROVED_RES | 2017-08-31 |
Branch Locations
10877 Wilshire Blvd Ste 1700, Los Angeles, CA 90024 • United States
Agoura Hills, CA • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Citigroup Global Markets, Inc. | Los Angeles | CA | 08/2008 | 08/2017 |
| Morgan Stanley Smith Barney | Los Angeles | CA | 06/2009 | 08/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2017 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 08/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-03 |
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