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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-03 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
400 Capitol Mall Suite 1900, Sacramento, CA 95814 • United States
5250 North Palm Avenue Suite 321, Fresno, CA 93704 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Sacramento | CA | 09/2006 | Present |
| Morgan Stanley Smith Barney | Sacramento | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. DEXTER & THERESA PARULAN JTWROS / RENTAL PROPERTY; NON-INVESTMENT RELATED; 4507 ARDEN WAY, SACRAMENTO, CA 95864; RENTAL PROPERTY; OWNER; START: 04-01-2004-PRESENT; 4 HOURS DEVOTED PER MONTH; ZERO HOURS DEVOTED DURING SECURITIES TRADING; MANAGED BY WIFE; COMPENSATION; MONTHLY RENT*** 2. THE CATHOLIC FOUNDATION; 2110 BROADWAY SACRAMENTO, CA; RELIGIOUS ACTIVITY; ON THE FINANCE OR INVESTMENT COMMITTEE; 0.25 AFTER BUSINESS HOURS; 0 DURING BUSINESS HOURS; 01/2012
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-11-10 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-09 |
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