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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2026-08-14 |
| TX | RA | APPROVED | 2026-08-14 |
Branch Locations
740 Shades Creek Parkway, Birmingham, AL 35209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Avenue Securities | Alabaster | AL | 02/2014 | 04/2022 |
| Guardian Life Insurance Company Of America | Alabaster | AL | 02/2014 | 04/2022 |
| Aurora Securities Inc | Alabaster | AL | 04/2022 | 11/2023 |
| Secure Asset Management Llc | Alabaster | AL | 04/2022 | 11/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Birmingham | AL | 11/2023 | 07/2026 |
| Morgan Stanley | Birmingham | AL | 08/2026 | Present |
*708367 - FINRA Dispute Resolution Services; Investment Related - No; New York, New York; Self Regulatory Organization; Arbitrator (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 07/2012; During Business Hours: 1; After Business Hours: 0; Arbitrator
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-11-01 |
| S65 | Uniform Investment Adviser Law Examination | 1997-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-03 |
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