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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-04-17 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sacramento | CA | 09/2015 | 03/2019 |
| Bb&T Securities, Llc | Fort Lauderdale | FL | 04/2019 | 02/2020 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 02/2020 | 03/2023 |
| Tiaa | Charlotte | NC | 02/2020 | 03/2023 |
| Morgan Stanley | Mather | NC | 03/2023 | Present |
*642376 - Order of the Eastern Star; Investment related: No; Folsom, California; Civic/Religious/Community; Other Committee(proprietor, partner, officer, director, employee, trustee, agent); 1/2025; During business hours: 0; After business hours: 3; Accounting/Bookkeeping
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-09-14 |
| S63 | Uniform Securities Agent State Law Examination | 2005-07-18 |
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