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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2026-08-18 |
| FL | RA | APPROVED | 2026-08-14 |
| TX | RA | APPROVED_RES | 2026-08-13 |
Branch Locations
4000 Carillon Point Suite 600, Kirkland, WA 98033 • United States
Tampa, 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 07/1995 | 08/2026 |
| Bank Of America, N.A. | Bellevue | WA | 09/2009 | 08/2026 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tampa | FL | 11/2020 | 08/2026 |
| Morgan Stanley Smith Barney Llc | Kirkland | WA | 08/2026 | Present |
| Morgan Stanley Smith Barney Llc | Tampa | FL | 08/2026 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 08/2026 | Present |
(1) Rental Property / Not Investment Related / Las Vegas, NV / Rental Property, No LLC / Owner / Start 16-January-2017 / 1 hour devoted monthly / 0 during trading / Owner of property - sister and mother living there and paying below market rent. (2) Rental Property 1 / Not Investment Related / Tampa, FL / Sole Owner / Start 08-December-2022 / 10 hours devoted yearly / 1 during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-10 |
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