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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2017-03-04 |
| TX | RA | APPROVED_RES | 2017-02-06 |
Branch Locations
3600 Rogers Rd, Wake Forest, NC 27587 • United States
3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Raleigh | NC | 03/2016 | 02/2017 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 03/2016 | 02/2017 |
| Wells Fargo Clearing Services | Raleigh | NC | 02/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 2008-04-11 |
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