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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-01-06 |
Branch Locations
28202 Cabot Road Suite 500, Laguna Niguel, CA 92677 • 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 | Laguna Niguel | CA | 10/2009 | 01/2017 |
| Morgan Stanley | Laguna Niguel | CA | 01/2017 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-18 |
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