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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-07-21 |
| CA | RA | APPROVED | 2023-07-20 |
Branch Locations
1111 Coast Village Road, Montecito, CA 93108 • 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 | Santa Barbara | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Santa Barbara | CA | 11/2016 | 07/2023 |
| Morgan Stanley Smith Barney Llc | Montecito | CA | 07/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-19 |
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