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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 | 2017-08-09 |
Branch Locations
400 Capitol Mall Suite 1900, Sacramento, CA 95814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Sacramento | CA | 07/2017 | Present |
| Rabobank, N.A. | Roseville | CA | 08/2015 | 07/2017 |
*325716- ELISE CHU & ADAM GOUGH REVOCABLE TR U/DEC DTD 01/11/2024; Investment related: Yes; West Sacramento, California; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2010; During business hours: 1; After business hours: 0; Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-19 |
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