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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-09-18 |
| TX | RA | APPROVED_RES | 2019-03-04 |
| SC | RA | APPROVED | 2018-09-17 |
| MO | RA | APPROVED | 2009-06-01 |
Branch Locations
7733 Forsyth Boulevard Suite 2100, Clayton, MO 63105 • United States
233 South Wacker Drive Suite 9200 Pwm, Chicago, IL 60606 • United States
Dewees Island, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Clayton | MO | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
| Morgan Stanley Smith Barney Llc | Clayton | MO | 08/2018 | Present |
1. *65725- Gannon Group Sole Proprietorship; Investment related -No; St. Louis, Missouri; Publishing; Employee, Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); 12/2009; During business hours: 0; After business hours: 9; Author 2.Roman Catholic Foundation of Eastern Missouri; Investment related : No; Saint Louis, MO; fundraising for Catholic charitable and educational institutions; Chair, Investment Committee, Trustee; (proprietor, partner, officer, director, employee, trustee, agent); Jun 2014; During business hours: 0.5; After business hours: 0.5; chair of investment must attend finance committee to report financials only not a new disclosure 3. The Papal Foundation; Investment related: No; Bala Cynwyd, PA; Global works of charity for the Universal Catholic Church; Member, Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); Feb 2013; During business hours: 0.5; After business hours: 0.5; I serve on the investment committee for the foundation which oversees the investment allocation, manager selection, and spending policy.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-02 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-04 |
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