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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-05-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Palo Alto | CA | 10/2010 | 05/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2018 |
| Principal Securities Inc | San Jose | CA | 05/2018 | Present |
| Principal Life Insurance Company | San Jose | CA | 05/2018 | 12/2022 |
***PHN LLC (dba The Academy of Self Defense); Not Investment Related; 3475 Woodward Ave, Santa Clara, CA 95054; Instructor; Teach self defense and krav maga courses to civilians; Start Date: 10/01/2012; 16 hrs per month; 0 during trading hours. ***Fixed Insurance; Investment Related; San Jose, CA; Agent; Fixed Insurance, Life, DI, Health, LTC; Start Date: 05/29/2019; 4 hrs per month; 4 during trading hours. BLACK SANDS WEALTH MANAGEMENT POSITION: Managing Member NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/13/2023 ADDRESS: 101 Metro Drive, Suite 375, San Jose CA 95110, United States DESCRIPTION: LLC created solely to pay rent for office space as landlord would not accept rent from individuals.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 2008-02-27 |
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