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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-04-04 |
| TX | RA | APPROVED_RES | 2023-04-03 |
Branch Locations
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 |
|---|---|---|---|---|
| Unionbanc Investment Services | San Diego | CA | 09/2012 | 10/2016 |
| Morgan Stanley Private Bank, N.A | San Diego | CA | 10/2016 | 07/2019 |
| Morgan Stanley Smith Barney Llc | Carlsbad | CA | 10/2016 | 04/2023 |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2019 | 04/2023 |
| Wells Fargo Clearing Services, Llc | Carlsbad | CA | 04/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 2012-12-03 |
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