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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-05-05
WA RA APPROVED 2011-08-05
  • TX RA
    APPROVED_RES
    Since 2020-05-05
  • WA RA
    APPROVED
    Since 2011-08-05

Branch Locations

1301 A Street Suite 300, Tacoma, WA 98402 • United States

601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Seattle WA 06/1998 Present
Morgan Stanley Smith Barney Seattle WA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/1998 → Present
    Citigroup Global Markets Inc.
    Seattle, WA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Seattle, WA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-08-04
S63 Uniform Securities Agent State Law Examination 2004-04-13
  • S65 Uniform Investment Adviser Law Examination
    2011-08-04
  • S63 Uniform Securities Agent State Law Examination
    2004-04-13

View on SEC IAPD

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