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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-10-08 |
| WA | RA | APPROVED | 2021-08-04 |
Branch Locations
500 108Th Avenue, North East Suite 1900, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Funds Distributor, Llc | Menomonee Falls | WI | 08/2012 | 04/2018 |
| Hartford Funds Distributors, Llc | Wayne | PA | 04/2018 | 07/2021 |
| Morgan Stanley | Bellevue | WA | 07/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2021 | Present |
*446613- Central Washington University: Foundation Board; Investment related No; Education, Washington; Education; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 10/2020; During business hours: 0; After business hours: 2; description of duties
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 2012-11-02 |
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