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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2021-03-05 |
| TX | RA | APPROVED | 2021-03-05 |
Branch Locations
4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Louisville | KY | 11/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Louisville | KY | 11/2016 | 03/2021 |
| Morgan Stanley Smith Barney Llc | Louisville | KY | 03/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2021 | Present |
*429189 - Mattnes Brothers, LLC.; Investment related- Yes; Louisville, Kentucky; Restaurant/Bar/Nightclub; Partner (proprietor, partner, officer, director, employee, trustee, agent); 05/2017; During business hours: 0; After business hours: 0; *590976 - Nu Lou Market LLC; Investment Related - Yes; Louisville, Kentucky; Restaurant/Bar/Nightclub; Partner(Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 10/2022; During Business Hours: 0; After Business Hours: 0; Other
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-30 |
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