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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-07-19 |
| TX | RA | APPROVED_RES | 2024-07-19 |
Branch Locations
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 |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Corte Madera | CA | 11/2016 | 12/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Napa | CA | 12/2017 | 07/2024 |
| Bank Of America, N.A. | Napa | CA | 03/2018 | 07/2024 |
| Morgan Stanley Smith Barney Llc | Napa | CA | 07/2024 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 07/2024 | Present |
| Wells Fargo Advisors, Llc | Corte Madera | CA | 03/2016 | 11/2016 |
(1) 606181 - Pina Carino Trust; Investment Related; Scottsdale, AZ; Rental Property; Other - Owner of the Home; Start 11-January-2022; During Business Hours: 1; After Business Hours: 0; Property Management. (2) 606182 - Alzeheimer Association; Not Investment Related; San Rafael, CA; Non-Profit; Board Member; Start 13-May-2020; During Business Hours: 2; After Business Hours: 0; Fundraising. (3) 606186 - Sons & Daughter of Italy Napa 501c8; Not Investment Related; Napa, CA; Civic/Community; Board Member; Start 09-March-2020; During Business Hours: 2; After Business Hours: 0; Fundraising.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-10 |
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