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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2022-10-12 |
| TX | RA | APPROVED | 2022-10-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Phoenix | AZ | 02/2019 | 11/2021 |
| Morgan Stanley | Tempe | AZ | 08/2022 | Present |
| The Vanguard Group, Inc. | Scottsdale | AZ | 07/2016 | 02/2019 |
| Unemployed | Phoenix | AZ | 11/2021 | 08/2022 |
* 585099 - Garnished LLC; Investment related-Yes; Phoenix, Arizona; Restaurant/Bar/Nightclub; Partner (proprietor, partner, officer, director, employee, trustee, agent); 02/2024; During business hours: 0; After business hours: 40; Administrative, Business Development/Growth, Customer Service, Labor/Service, Sales/Marketing
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 2015-08-27 |
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