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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-09 |
| TX | RA | APPROVED_RES | 2021-07-09 |
Branch Locations
3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Rosa | CA | 10/2009 | 07/2021 |
| Morgan Stanley Smith Barney Llc | Santa Rosa | CA | 07/2021 | Present |
*448354 - Brian Ray and Associates; Investment related - Yes; Santa Rosa, California; Construction/Engineering; Partner (proprietor, partner, officer, director, employee, trustee, agent); 03/1996; During business hours: 0; After business hours: 0; silent partner
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-23 |
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