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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-10-27 |
| MN | RA | APPROVED | 2014-02-06 |
Branch Locations
445 East Lake Street Suite 320, Wayzata, MN 55391 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Wayzata | MN | 09/2008 | Present |
| Morgan Stanley Smith Barney | Wayzata | MN | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
WCCO RADIO, 625 2ND AVE S. MPLS, MN 55402. I AM A PERIODIC GUEST ON A RADIO SHOW, I STARTED IN MAY 2000, IT IS A PUBLIC COMPANY, NOT INVESTMENT RELATED, DUTIES INCLUD MEDIA INTERVIEWS RELATING TO FINANCIAL MARKETS ABOUT 4 HOURS PER MONTH. CITIES 97, 1600 UTICA AVE SOUTH, ST. LOUIS PARK, MN 55416, STARTED 1/1/05 NO END IN SIGHT, IT IS A PUBLIC COMPANY, DUTIES ARE PROVIDING PERSONAL FINANCE COMMENTARY ON THE RADIO SHOW FOR ABOUT 3 HOURS A MONTH. ZEN PARTNERS LLLC NOT INVESTMENT RELATED. YOGA STUDIO PARTNER 2007 NO HOURS DEVOTED. * 419216 - Trust; Investment related Yes; Cold Spring, MN; Nov 2020; During business hours: 0; After business hours: 5.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-25 |
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