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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2025-01-16 |
| TX | RA | APPROVED | 2025-01-16 |
Branch Locations
445 East Lake Street Suite 320, Wayzata, MN 55391 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Wayzata | MN | 03/2015 | 06/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Minneapolis | MN | 07/2021 | 12/2024 |
| Morgan Stanley | Wayzata | MN | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 2014-01-16 |
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