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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-01-31 |
| TX | RA | APPROVED_RES | 2011-02-16 |
| IA | RA | APPROVED | 2009-06-01 |
Branch Locations
4300 East 53Rd Street Suite 300, Davenport, IA 52807 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Davenport | IA | 06/2009 | Present |
ACT II JEWELRY LLC DBA LIA SOPHIA NOT INVESTMENT RELATED, N. MITTEL BLVD, WOOD DALE, IL 60191 , DIRECT SALES OF FASHION JEWELRY ADVISOR 4/11/08, 10-12 HOURS PER MONTH OUTSIDE OF SECURITIES TRADING HOURS. ***************************** GAULEY EXCAVATING; NON INVESTMENT RELATED; 18420 42ND STREET WEST, MILIAN IL; LESS THAN 2 HOURS PER MONTH 0 DURING SECURITIES HOURS; ASSIST HUSBAND WITH PREPARING ESTIMATES AND INVOICES, MINOR ACCOUNTING FOR TAX PURPOSES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-07 |
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