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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-11-16 |
| TX | RA | APPROVED | 2022-11-16 |
Branch Locations
3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | West Lake Village | CA | 09/2010 | 11/2022 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2022 |
| Wells Fargo Clearing Services, Llc | Westlake Village | CA | 11/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 03/2018 | Present |
ESTATE OF HOWARD AND DONNA LEE TRUST; INV RELATED; WESTLAKE VILLAGE, CA; CO-EXECUTOR; START DATE 08/17/2024; 2 HOURS PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-16 |
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