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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-09 |
| TX | RA | APPROVED | 2021-07-09 |
Branch Locations
3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Rosa | CA | 07/2005 | 07/2021 |
| Bank Of America,N.A. | Santa Rosa | CA | 09/2009 | 07/2021 |
| Morgan Stanley Smith Barney Llc | Santa Rosa | CA | 07/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2021 | Present |
*450002- Santa Rosa Memorial Hospital Foundation (Providence); Investment related -No; Santa Rosa, California; Health and Welfare; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 01/2014; During business hours: 0; After business hours: 1; Fundraising *621071 - Bennett Valley Community Association; Investment Related - No; Santa Rosa, California; Land Preservation; Finance Committee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 12/2024; During Business Hours: 0; After Business Hours: 1; Accounting/Bookkeeping, Administrative.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-03 |
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