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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-06-16 |
| CA | RA | APPROVED | 2022-06-01 |
Branch Locations
1331 N California Blvd, Walnut Creek, CA 94596 • United States
Oakland, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Dallas | TX | 04/2004 | 05/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 06/2009 | 05/2017 |
| First Republic Investment Management Inc | San Francisco | CA | 05/2017 | 10/2018 |
| First Republic Securities Company, Llc | San Francisco | CA | 05/2017 | 10/2018 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 02/2019 | 05/2022 |
| Unemployed | Alameda | CA | 10/2018 | 02/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Walnut Creek | CA | 05/2022 | Present |
EMPERIAL SUGAR RECORDING COMPANY, NOT INVT RELATED, ALAMEDA, CA, 100% OWNERSHIP, START DATE 9/15/2021, 5 HRS PER MONTH, 0 HRS DURING TRADING, RECORDING MUSIC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-13 |
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