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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-09-05 |
| UT | RA | APPROVED | 2023-09-05 |
Branch Locations
200 West Civic Center Drive, Sandy, UT 84070 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Salt Lake City | UT | 07/2013 | 04/2018 |
| Tiaa-Cref Individual & Institutional Services, Llc | Salt Lake City | UT | 07/2013 | 04/2018 |
| E*Trade Securities Llc | Sandy | UT | 04/2018 | 09/2023 |
| E*Trade Capital Management Llc | Sandy | UT | 04/2018 | 09/2023 |
| Morgan Stanley Smith Barney Llc | Sandy | UT | 10/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-06-02 |
| S66 | Uniform Combined State Law Examination | 2000-07-29 |
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