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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-09-16 |
| TX | RA | APPROVED | 2021-09-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Miami | FL | 08/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Miami | FL | 11/2016 | 09/2021 |
| Morgan Stanley Smith Barney Llc | Miami | FL | 09/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2021 | Present |
OCEANA KEY BISCAYNE; INV RELATED; KEY BISCAYNE, FL; HOA; TREASURER; START: 2/2021; 2 HR/MO; 0 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 2012-07-30 |
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