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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-08 |
| TX | RA | APPROVED | 2024-11-08 |
Branch Locations
2829 Townsgate Road Suite 200, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Westlake Village | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Westlake Village | CA | 11/2016 | 11/2024 |
| Morgan Stanley Smith Barney Llc | Westlake Village | CA | 11/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-05 |
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