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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 | 2018-09-12 |
| FL | RA | APPROVED | 2018-09-10 |
Branch Locations
1605 Main St 12Th & 14Th Fls, Sarasota, FL 34236 • United States
Sarasota, FL • 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 | Punta Gorda | FL | 06/2009 | 09/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2018 |
| Wells Fargo Clearing Services, Llc | Sarasota | FL | 09/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-29 |
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