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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-10-23 |
| TX | RA | APPROVED_RES | 2020-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | San Diego | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 11/2016 | 10/2020 |
| Morgan Stanley Smith Barney Llc | La Jolla | CA | 10/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2020 | Present |
RENTAL PROPERTY; INV RELATED; SAN DIEGO, CA; 100% OWNERSHIP WITH SPOUSE; START 01/20/2011; MINIMAL TIME DEVOTED; NONE DURING TRADING HOURS. RENTAL PROPERTY, INV RELATED, SAN DIEGO, CA, 50% OWNERSHIP, START 6/23/2020, ZERO HOURS PER MONTH, ZERO DURING TRADING, VACATION HOME WITH POTENTIAL RENTAL USAGE. *415010 - Rental Property; Investment related Yes; san diego, CA; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); Jan 1994; During business hours: 0; After business hours: 1; Property Management. RENTAL PROPERTY, INVT RELATED, SAN DIEGO, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 8/17/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, OWNER OF PROPERTY. RENTAL PROPERTY, INVT RELATED, POWAY, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 8/17/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, OWNER OF PROPERTY. *415013 - Rental property; Investment related Yes; San Diego, CA; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); September 2010; During business hours: 1; After business hours: 1; Property Management. *415415 - Rental property; Investment related Yes; Poway, California; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 05/2003; During business hours: 0; After business hours: 1; Property Management.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-12 |
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