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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-10-06
  • CA RA
    APPROVED
    Since 2023-10-06

Branch Locations

3840 Kilroy Airport Way Suite 400, Long Beach, CA 90806 • United States

800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • United States

1999 Avenue Of The Stars Suite 2400, Los Angeles, CA 90067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lincoln Financial Advisors Corporation Irvine CA 02/2016 03/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 05/2022 10/2023
Donald E. Garcia Indianapolis IN 02/2016 08/2018
Bank Of America, N.A. Newport Beach CA 07/2022 10/2023
Morgan Stanley Smith Barney Llc Los Angeles CA 10/2023 Present
  • 02/2016 → 03/2022
    Lincoln Financial Advisors Corporation
    Irvine, CA
  • 05/2022 → 10/2023
    Newport Beach, CA
  • 02/2016 → 08/2018
    Donald E. Garcia
    Indianapolis, IN
  • 07/2022 → 10/2023
    Bank Of America, N.A.
    Newport Beach, CA
  • 10/2023 → Present
    Morgan Stanley Smith Barney Llc
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-22
  • S66 Uniform Combined State Law Examination
    2016-07-22

View on SEC IAPD

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