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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-08-29 |
Branch Locations
8383 Preston Center Plaza Suite 400, Dallas, TX 75225 • 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 |
|---|---|---|---|---|
| Waddell & Reed, Inc | Southlake | TX | 08/2016 | 06/2017 |
| Various Insurance Carriers For W&R Insurance Agencies | Trophy Club | TX | 08/2016 | 06/2017 |
| Massachusetts Mutual Life Insurance Company | Addison | TX | 06/2017 | 05/2018 |
| Mml Investors Services, Llc | Addison | TX | 06/2017 | 05/2018 |
| Sanford C. Bernstein & Co., Llc | Dallas | TX | 05/2018 | 02/2019 |
| Morgan Stanley | Dallas | TX | 08/2019 | Present |
| Unemployed | Dallas | TX | 03/2019 | 05/2019 |
*421183 - Trust; Investment related - Yes; Trophy Club, TX; Trustee; 01/2021; During business hours: 0; After business hours: 2; *580314 - SL&RM Holdings, LP; Investment Related - No; WESTLAKE, Texas; family estate planning vehicle LLC/LP; Officer (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 12/2023; During Business Hours: 0; After Business Hours: 5; Investment Decisions/Advice *589004 - SL&RM Management, LLC; Investment related - No; WESTLAKE, Texas; family estate planning vehicle LLC/LP ; Officer(proprietor, partner, officer, director, employee, trustee, agent) ; 1/2024 ; During business hours : 0 ; After business hours : 5 ; Investment Decisions/Advice
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 2015-12-30 |
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