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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2020-11-19 |
| TX | RA | APPROVED | 2020-11-06 |
Branch Locations
13625 California Street Suite 400, Omaha, NE 68154 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Omaha | NE | 03/2008 | 11/2020 |
| City National Bank | Omaha | NE | 04/2019 | 11/2020 |
| Morgan Stanley Smith Barney Llc | Omaha | NE | 11/2020 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 11/2020 | Present |
FREELANCE WRITING; ADDRESS: EMPLOYEE'S RESIDENCE; BUSINESS DESCRIPTION: FREELANCE WRITING; NOT INVESTMENT RELATED; START DATE: 01/01/1992; CAPACITY: OTHER-INDEPENDENT CONTRACTOR; DUTIES: WRITING; HOURS DEVOTED PER WEEK: .25; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (4)NAME OF ENTITY: Mindojo. ADDRESS OF BUSINESS: New York, NY (Online website). BUSINESS DESCRIPTIONS: Online Test Prepration for the CFA program. BUSINESS IS NOT INVESTMENT RELATED. PROJECTED START DATE: - 11/07/16. PROJECTED END DATE: - 06/13/17. CAPACITY: Independent Contractor/Consultant. DUTIES PERFORMED: Developing questions for the Bloomberg online CFA test preparation program. HOURS DEVOTED TO THIS OBA PER MONTH: None. HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: None. *417346 - FarmHouse Foundation; Investment related No; Kansas City, MO; Education; Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); April 2018; During business hours: 0; After business hours: 1; Review and interpretation of outside investment advisor's reports. *417347 - Nebraska Committee for Children and Youth; Investment related No; Omaha, NE; Children/Youth; Officer (non-board member), Board Member (proprietor, partner, officer, director, employee, trustee, agent); May 2010; During business hours: 0; After business hours: 1; Administrative, Check Signing/Funds Disbursements, Business Development/Growth *417349 - Creative Fleurs; Investment related No; Omaha, NE; Art/Culture; Officer (proprietor, partner, officer, director, employee, trustee, agent); Jan 1999; During business hours: 0; After business hours: 2; Accounting/Bookkeeping
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-12 |
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