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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-06 |
| CA | RA | APPROVED | 2019-07-16 |
Branch Locations
4309 Hacienda Drive Suite 200, Pleasanton, CA 94588 • United States
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 Advisors Llc | Alameda | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Alameda | CA | 11/2016 | 07/2019 |
| Morgan Stanley Smith Barney Llc | Pleasanton | CA | 07/2019 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 08/2019 | Present |
(1) 378778 - JoJ LLC; Investment Related; Danville, CA; Rental Property; Property Owner; Start September 2014; During business hours: 0; After business hours: 0; Property owner. (2) 569518 - Blackhawk Community Cares Foundation; Not Investment Related; Fremont, CA; Civic/Religious/Community; Board Member, Officer; Start July 2024; During business hours: 0; After business hours: 5; Check Signing, Funds Disbursements, Accounting, Bookkeeping. (3) 617903 - Rental Property; Investment Related; San Francisco, CA; Rental Property; Joint Owner; Start January 2025; During Business Hours: 0; After Business Hours: 0; Other.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-06-14 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-24 |
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