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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-03-10 |
| CA | RA | APPROVED | 2025-03-07 |
Branch Locations
2555-2595 W Chandler Blvd Ci Client Management, Chandler, AZ 85224 • United States
75 Port City Lndg, Mount Pleasant, SC 29464 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chandler | AZ | 06/2015 | 06/2022 |
| Morgan Stanley | Tempe | AZ | 06/2022 | 02/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chandler | AZ | 02/2025 | Present |
I*2189292, Entity Type: Entity For Profit, Name of OBA: The S LLC, Address: Mesa, Arizona, 85210, Investment Related: N, Position, Title, Association: ["Officer","General Partner/Managing Member","Owner"], Employee State Date: 10/01/2024, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: My spouse and I own two rental homes located in Mesa, Arizona. We rent the homes (owned by two trusts: The H Trust and The S Trust). The funds received are from long term rental income. My spouse is the President of the LLC and I am the Vice President. We are also the sole trustees on the trusts that own the homes. I*2236294, Entity Type: Entity For Profit, Name of OBA: S Antonio LLC, Address: San Tan Valley, Arizona, 85143, Investment Related: N, Position, Title, Association: ["General Partner/Managing Member"], Employee State Date: 08/27/2024, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: This is an LLC for the purpose of protecting assets for a rental propertyName of the other business The H. TrustWhether the business is investment-related No. It is rental property at Mesa Arizona Address of the other business San Tan Valley Arizona Nature of the other business Rental Property. I owned this property prior to marriage and rented it out after moving homes in September of 2023. Your position Grantor and TrusteeTitle, or relationship with the other business Grantor, Trustee, MemberStart date of your relationship 02/08/2017Approximate number of hours/month you devote to the other business 0Number of hours you devote to the other business during securities trading hours 0Briefly describe your duties relating to the other business Major financial decisionsName of the other business The S. TrustWhether the business is investment-related No. Mesa, ArizonaAddress of the other business San Tan Valley Arizona Nature of the other business Rental Property. My husband owned this property prior to our marriage. It was a rental property prior to our marriage.Your position Grantor and TrusteeTitle, or relationship with the other business Grantor, Trustee, MemberStart date of your relationship 05-Oct-2024 Approximate number of hours/month you devote to the other business 0Number of hours you devote to the other business during securities trading hours 0Briefly describe your duties relating to the other business Major financial decisions I*3984268 Entity Type: N/A Name of OBA: Morgan Stanley Address: San tan valley, Arizona, 85143 Investment Related: No Position, Title, Association: N/A Employee Start Date: 03/13/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Settlement from prior job None
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 2015-09-21 |
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