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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-08 |
| CT | RA | APPROVED | 2019-02-20 |
| TX | RA | APPROVED | 2019-02-20 |
Branch Locations
450 Post Road E, Westport, CT 06880 • United States
South San Francisco, CA • United States
Georgetown, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Westport | CT | 09/2006 | 02/2019 |
| Morgan Stanley Smith Barney | Westport | CT | 06/2009 | 02/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 02/2019 |
| Wells Fargo Clearing Services Llc | Westport | CT | 02/2019 | Present |
FORTUNISTA; NOT INVESTMENT RELATED; SAN FRANCISCO,CA; 100% OWNERSHIP; 04/28/2016; NUMBER OF HOURS PER MONTH 4; NUMBER OF HOURS DURING TRADING 0; PREPARE INVOICES, ACCOUNTING, AND BILLING. CALIFORNIA LICENSE TO PRACTICE LAW; NOT INVESTMENT RELATED; SAN FRANCISCO,CA; INACTIVE MEMBER; START DATE 03/19/2019; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; NO DUTIES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-12 |
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