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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-05-22 |
| TX | RA | APPROVED_RES | 2025-05-22 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Morgan Stanley | La Jolla | CA | 06/2009 | 05/2025 |
| Morgan Stanley Private Bank, National Association | New York | NY | 02/2015 | 05/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | La Jolla | CA | 05/2025 | Present |
| Bank Of America, N.A. | La Jolla | CA | 07/2025 | Present |
*401088- TRUST; Investment related - Yes; Trustee/Co-Trustee (proprietor, partner, officer, director, employee, trustee, agent); May 2020; During business hours: 2; After business hours: 2
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-15 |
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