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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-03-23 |
| WY | RA | APPROVED | 2022-08-02 |
| CA | RA | APPROVED | 2021-07-06 |
Branch Locations
444 South Flower Street,34Th Floor, Los Angeles, CA 90071 • United States
Jackson, WY • 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 | Los Angeles | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 11/2016 | 07/2021 |
| Morgan Stanley Smith Barney Llc | Los Angeles | CA | 07/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2021 | Present |
1.RENTAL PROPERTY, INV RELATED, WEST HOLLYWOOD, CA, 100% OWNERSHIP, START: 5/1/2016, 1 HR/MONTH, 0 HRS DURING TRADING; 7705 NORTON LLC, INV RELATED, LOS ANGELES, CA, 100% OWNERSHIP, START 1/1/2018, ZERO HOUR PER MONTH, ZERO HOURS DURING TRADING, MANAGE RENTAL PROPERTY.; 2. PERSONAL REPRESENTATIVE FOR COUSIN, INV RELATED, LOS ANGELES, CA, START: 4/30/2019, 2 HRS/MONTH, 0 HRS DURING TRADING. 3. RENTAL PROPERTY; INVESTMENT RELATED; JACKSON,WY; 100% OWNERSHIP; START DATE 01/04/2020; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER.; 4.FIDUCIARY FEES FOR PERSONAL REP FOR COUSIN, INV RELATED, LOS ANGELES, CA, START: 1/13/2020, 1 HR/MONTH, 0 HRS DURING TRADING. 5. *447665 - Rental Property; Investment related Yes; West Hollywood, California; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 02/2011; During business hours: 0; After business hours: 1; Property Management 6. *447667 - Rental Property; Investment related Yes; Jackson, Wyoming; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 11/2019; During business hours: 0; After business hours: 1; Property Management *486483 - Trust; Investment related - Yes; Huntington Beach, California; 01/2022; During business hours: 0; After business hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 1999-01-25 |
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