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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-07-01 |
| CA | RA | APPROVED | 2021-05-17 |
Branch Locations
9665 Wilshire Boulevard Suite 600, Beverly Hills, CA 90212 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 03/2012 | 04/2021 |
| First Republic Securities Company, Llc | Los Angeles | CA | 04/2021 | 05/2021 |
| First Republic Investment Management, Inc. | Los Angeles | CA | 04/2021 | 05/2021 |
| Morgan Stanley Smith Barney Llc | Los Angelese | CA | 05/2021 | Present |
*444760 - Rodan & Field; Investment related - No; San Francisco, California; Retail/Online Stores; Contractor (proprietor, partner, officer, director, employee, trustee, agent); 09/2017; During business hours: 0; After business hours: 1; Sales/Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 2011-06-20 |
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