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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-05-13 |
| NY | RA | APPROVED | 2021-07-27 |
| NJ | RA | APPROVED | 2020-03-13 |
Branch Locations
767 5Th Ave 33Rd Fl [Y5-Rbo], New York, NY 10153 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | New York | NY | 05/2011 | 01/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 01/2020 |
| Wells Fargo Clearing Services Llc | New York | NY | 01/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-30 |
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