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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-01-26
FL RA APPROVED 2021-03-02
  • TX RA
    APPROVED_RES
    Since 2023-01-26
  • FL RA
    APPROVED
    Since 2021-03-02

Branch Locations

220 Alhambra Circle 10Th Floor, Coral Gables, FL 33134 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Coral Gables FL 03/2016 11/2016
Wells Fargo Clearing Services, Llc Coral Gables FL 11/2016 03/2021
Morgan Stanley Smith Barney Llc Coral Gables FL 03/2021 Present
  • 03/2016 → 11/2016
    Wells Fargo Advisors, Llc
    Coral Gables, FL
  • 11/2016 → 03/2021
    Coral Gables, FL
  • 03/2021 → Present
    Morgan Stanley Smith Barney Llc
    Coral Gables, FL
Previous Registrations
  • 2016-03-24 → 2021-03-05
    Coral Gables, FL
  • 2010-01-01 → 2016-04-12
    Miami, FL
    Weehawken, NJ
    Miami, FL
    Weehawken, NJ
    Weehawken, NJ
    Weehawken, NJ
    Weehawken, NJ
    Weehawken, NJ
  • 2006-07-13 → 2010-01-01
    Ubs International Inc.
    New York, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-26
  • S66 Uniform Combined State Law Examination
    2006-06-26

View on SEC IAPD

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