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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-25 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
1333 North California Boulevard Suite 133, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Walnut Creek | CA | 06/2006 | Present |
| Morgan Stanley Smith Barney | Walnut Creek | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. ProPhoto; Not Investment related; Contract Photography; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Dec 2017; During business hours: 0; After business hours: 5; Helping to find photographers to work for company, helping with finding other employees to work for company *332124 - Piclarity; Investment related: Yes; Walnut Creek, California; Technology; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); 12/2017; During business hours: 0; After business hours: 5; Administrative 2. *519688 - Scout Sales LLC; Investment related No; Atlanta, Georgia; Retail/Online Stores; Partner (proprietor, partner, officer, director, employee, trustee, agent); 09/2022; During business hours: 0; After business hours: 10; Business Development/Growth 3. *548766 - Oak Grove Swim Club ; Investment related - No ; Walnut Creek, California ; Social & Recreational ; Board Member(proprietor, partner, officer, director, employee, trustee, agent) ; 3/2023 ; During business hours : 0 ; After business hours : 5 ; Social Chair / Events
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 2003-10-24 |
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