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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-30 |
| CA | RA | APPROVED | 2024-09-26 |
Branch Locations
1216 State Street Suite 500, Santa Barbara, CA 93101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Santa Barbara | CA | 01/2003 | 09/2024 |
| Morgan Stanley Smith Barney | Colorado Springs | CO | 06/2009 | 09/2024 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2024 |
| Raymond James & Associates Inc. | Santa Barbara | CA | 09/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 09/2024 |
(1)Name of Business: Address: 6212 Avenida Ganso, Goleta, CA, 93117, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 01/01/2025 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I own the property.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 2003-04-11 |
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