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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-10-04 |
| TX | RA | APPROVED | 2021-10-01 |
Branch Locations
800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank | Irvine | CA | 03/2006 | 10/2021 |
| Wells Fargo Clearing Services | Irvine | CA | 02/2021 | 10/2021 |
| Morgan Stanley Smith Barney Llc | Newport Beach | CA | 10/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2021 | Present |
*458846 - Rental Property; Investment related - Yes; Phoenix, Arizona; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 07/2013; During business hours: 0; After business hours: 0; Approve tenants and repairs. *458613- Jewish Federation of Orange County; Investment related- No; Irvine, California; Religious, Art/Culture, Children/Youth, Civic/Community, Disaster Relief, Economic Assistance, Hardship Assistance; Board Member, Finance Committee, Treasurer (proprietor, partner, officer, director, employee, trustee, agent); 01/2021; During business hours: 3; After business hours: 2; Other, Check Signing/Funds Disbursements *458614 - CFA Society Orange County; Investment related: No; Newport Beach, California; Education:Civic/Community; Board Member(proprietor, partner, officer, director, employee, trustee, agent); 7/2014; During business hours: 1; After business hours: 1; Overall strategy and direction along with networking
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 2003-06-20 |
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