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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-20 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
225 West Santa Clara Street Suite 900, San Jose, CA 95113 • United States
Alamo, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | San Jose | CA | 11/1993 | Present |
| Morgan Stanley Smith Barney | San Jose | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*68579 - University of California at Berkeley; Investment Related - No; Berekeley, California; Public Schools; Employee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 01/1998; During Business Hours: 0; After Business Hours: 20; Teach Investments class in CFP Program. *222557 - UC Berkeley - CFP Program Advisory Board; Investment related: No; Berkeley , California; Public Schools; Advisory Board(proprietor, partner, officer, director, employee, trustee, agent); 1/2007; During business hours: 0; After business hours: 2; promote and support the CFP program *67976 - Stanford University; Investment Related - No; Stanford, California; Public Schools; Instructor (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 06/2009; During Business Hours: 0; After Business Hours: 20; Teach - Essential of Wealth Mgmt class.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-09 |
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