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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-08
VA RA APPROVED 2011-09-15
  • TX RA
    APPROVED_RES
    Since 2020-04-08
  • VA RA
    APPROVED
    Since 2011-09-15

Branch Locations

901 East Byrd Street Suite 2000, Richmond, VA 23219 • United States

120 Garrett Street Suite 301, Charlottesville, VA 22902 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Richmond VA 09/2011 Present
  • 09/2011 → Present
    Morgan Stanley Smith Barney
    Richmond, VA
Previous Registrations
  • 2007-12-11 → 2011-09-06
    Truist Investment Services, Inc.
    Richmond, VA
    Richmond, VA
  • 2004-01-03 → 2007-12-04
    Seattle, WA
    Tacoma, WA
    Roselle, IL
    Richmond, VA
    Nashville, TN
    Edwardsville, IL
    Centralia, IL
    Dover, DE
    Germantown, TN
    Downers Grove, IL
    Orland Park, IL
    Crystal Lake, IL
    Woodstock, IL
    Lake Stevens, WA
    Fergus Falls, MN
    Streator, IL
    Fairfield, IL
  • 2001-12-31 → 2003-12-19
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-25
S63 Uniform Securities Agent State Law Examination 1995-07-05
  • S65 Uniform Investment Adviser Law Examination
    1998-09-25
  • S63 Uniform Securities Agent State Law Examination
    1995-07-05

View on SEC IAPD

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