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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WY | RA | APPROVED | 2024-03-07 |
| CA | RA | APPROVED | 2019-09-13 |
| TX | RA | APPROVED | 2019-09-13 |
Branch Locations
1250 Prospect Street Suite 202, La Jolla, CA 92037 • United States
1999 Avenue Of The Stars Suite 2400, Los Angeles, CA 90067 • United States
Jackson, WY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | La Jolla | CA | 07/1999 | 09/2019 |
| Bank Of America,N.A. | La Jolla | CA | 06/2011 | 09/2019 |
| Morgan Stanley | La Jolla | CA | 09/2019 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2019 | Present |
*381418 - 5522 Bellevue, LLC; Investment related; Rental Property; Manager (proprietor, partner, officer, director, employee, trustee, agent); Jun 2017; During business hours: 0; After business hours: 0. *381413 - 536 Genter, LLC; Investment related ; Rental Real Estate; Manager (proprietor, partner, officer, director, employee, trustee, agent); Jul 2018; During business hours: 0; After business hours: 0. *381416 - 509 Midway, LLC; Investment related; Rental Property; Manager (proprietor, partner, officer, director, employee, trustee, agent); Jun 2017; During business hours: 0; After business hours: 0. *381409 - University of California at Davis; Investment related - No; Government / Municipality / Political; Board Member (proprietor, partner, officer, director, employee, trustee, agent); Jan 2019; During business hours: 0; After business hours: 1; Attend quarterly meetings. *387913 - Trust; Trustee/Co-Trustee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); Dec 2010; During Business Hours: 0; After Business Hours: 0. *479346 - UC Davis Foundation; Investment related No; Davis, California; Agricultural/Horticultural, Animals, Art/Culture, Economic Assistance, Education, Environmental, Health and Welfare, Land Preservation, Medical, Social & Recreational, Sports; Board Member, Finance Committee, Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 02/2022; During business hours: 0; After business hours: 5 *682976- 3JV LLC; Investment related-Yes; San Diego, California; Real Estate; Partner (proprietor, partner, officer, director, employee, trustee, agent); 02/2026; During business hours: 0; After business hours: 0;Investor.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-13 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-07 |
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