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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-09-25
CA RA APPROVED 2016-05-17
  • TX RA
    APPROVED_RES
    Since 2020-09-25
  • CA RA
    APPROVED
    Since 2016-05-17

Branch Locations

400 Capitol Mall Suite 1900, Sacramento, CA 95814 • United States

650 Castro Street Suite 105, Mountain View, CA 94041 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Sacramento CA 05/2016 Present
Morgan Stanley Private Bank, N.A. New York NY 06/2016 Present
  • 05/2016 → Present
    Morgan Stanley Smith Barney Llc
    Sacramento, CA
  • 06/2016 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2016-05-03 → 2016-05-19
    Dallas, TX
    Elk Grove, CA
  • 2011-01-03 → 2016-04-25
    Roseville, CA
    Stockton, CA
    Elk Grove, CA
    Stockton, CA
    Elk Grove, CA
    Sacramento, CA
    Elk Grove, CA
    Sacramento, CA
    Elk Grove, CA
  • 2008-08-06 → 2011-01-03
    Wells Fargo Investments, Llc
    Sonora, CA
    Elk Grove, CA
    Elk Grove, CA
    Stockton, CA
    Stockton, CA
    Stockton, CA
  • 2005-06-07 → 2008-08-07
    Wamu Investments, Inc.
    Manteca, CA
    Manteca, CA
    Stockton, CA
    Oakley, CA
    Stockton, CA
    Stockton, CA
    Lodi, CA
    Stockton, CA
  • 2005-01-01 → 2005-06-17
    Wells Fargo Investments, Llc
    Santa Clara, CA
Other Businesses

RENTAL PROPERTY, OWNER/LANDLORD; RENTAL; DURING BUSINESS HOURS-1, AFTER BUSINESS HOURS- 2; START DATE: 09/2008; SACRAMENTO, CA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-30
  • S66 Uniform Combined State Law Examination
    2004-12-30

View on SEC IAPD

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