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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-24
CA RA APPROVED 2011-01-07
  • TX RA
    APPROVED_RES
    Since 2020-02-24
  • CA RA
    APPROVED
    Since 2011-01-07

Branch Locations

1333 North California Boulevard Suite 133, Walnut Creek, CA 94596 • United States

Provincetown, MA • 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
Morgan Stanley Smith Barney Orinda CA 01/2011 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 01/2011 → Present
    Morgan Stanley Smith Barney
    Orinda, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2001-05-15 → 2011-01-07
    Wells Fargo Investments, Llc
    Walnut Creek, CA
    Walnut Creek, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-06
S63 Uniform Securities Agent State Law Examination 1991-10-07
  • S65 Uniform Investment Adviser Law Examination
    1998-04-06
  • S63 Uniform Securities Agent State Law Examination
    1991-10-07

View on SEC IAPD

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