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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2019-11-08 |
| TX | RA | APPROVED | 2019-08-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Dallas | TX | 09/2010 | 08/2019 |
| Wells Fargo Clearing Services Llc | Plano | TX | 08/2019 | Present |
RENTAL PROPERTY; INVESTMENT RELATED; DALLAS,TX; 100% OWNERSHIP; START DATE 08/09/2019; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; DALLAS,TX; 100% OWNERSHIP; START DATE 08/09/2019; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INVESTMENT RELATED; DALLAS,TX; 100% OWNERSHIP; START DATE 08/09/2019; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-25 |
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