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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-12-16 |
| CA | RA | APPROVED | 2021-07-29 |
Branch Locations
3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Novato | CA | 11/2013 | 07/2021 |
| Wells Fargo Advisors Llc | Novato | CA | 11/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Novato | CA | 11/2016 | 07/2021 |
| Morgan Stanley | Santa Rosa | CA | 07/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2023 | Present |
*458892 - Demeo Teen Club (AKA Chops Teen Club) ; Investment related - No ; Santa Rosa, California ; Children/Youth ; Board Member, Officer: President of the Board (proprietor, partner, officer, director, employee, trustee, agent) ; 11/2021 ; During business hours : 1 ; After business hours : 2 ; Business Development/Growth, Fundraising, Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 2007-06-28 |
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