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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2018-07-16 |
Branch Locations
701 Pike Street Suite 2100, Seattle, WA 98101 • United States
Seattle, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Bellevue | WA | 11/1993 | 07/2018 |
| Morgan Stanley Smith Barney | Bellevue | WA | 06/2009 | 07/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 07/2018 |
| Oppenheimer & Co. Inc | Seattle | WA | 07/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-06 |
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