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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-04-09 |
| AL | RA | APPROVED | 2023-05-01 |
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 |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Gadsden | AL | 03/2019 | 08/2021 |
| First Federal Mortgage | Gadsden | AL | 01/2014 | 01/2019 |
| Lpl Financial Llc | Gadsden | AL | 08/2021 | 04/2023 |
| Alabama Teachers Credit Union | Gadsden | AL | 08/2021 | 04/2023 |
| Morgan Stanley Smith Barney Llc | Gadsden | AL | 04/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 04/2023 | Present |
James M Barrie Child Advocacy Center/ Non-Profit Board Member, Secretary / Non-Investment Related / child abuse advocacy services / Gadsden, AL / Start January-2018 / 1 Hour per Month. No investment advice given, no compensation received for participation. Oversight of strategic plan of the organization and continuation of its mission
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-07-11 |
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