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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ID | RA | APPROVED | 2023-07-11 |
| CA | RA | APPROVED | 2022-09-30 |
| TX | RA | APPROVED | 2022-09-30 |
Branch Locations
305 Lytton Avenue, Palo Alto, CA 94301 • United States
Driggs, ID • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Menlo Park | CA | 11/2005 | 09/2022 |
| Morgan Stanley Smith Barney | Menlo Park | CA | 06/2009 | 09/2022 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2022 |
| Ubs Financial Services | Menlo Park | CA | 09/2022 | Present |
Palo Alto Senior Housing project; Investment related No; Charity; (proprietor, partner, officer, director, employee, trustee, agent); Feb 2018; During business hours: 0.5; After business hours: 0; providing affordable housing for independent, low-income senior citizens NAME OF OTHER BUSINESS: Menlo Park Atherton Education Foundation / INVESTMENT RELATED?: N / ADDRESS: 181 Encinal Avenue / NATURE OF THE BUSINESS: Foundation / POSITION: Member of a committee with management / supervisor functions / DUTIES: Investment committee member overseeing the district's $6 million endowment / START DATE: 9/1/2016 / HOURS DEVOTED TO BUSINESS: NA NAME OF OTHER BUSINESS: Sacred Heart Schools Atherton Retirement Plan Advisory Committee / INVESTMENT RELATED?: N / ADDRESS: 150 Valparaiso Avenue/ NATURE OF THE BUSINESS: Educational Establishment / POSITION: Member of a committee with management / supervisor functions / DUTIES: Participate in the quarterly investment review meetings to add another perspective/ START DATE: 09/01/2020_ / HOURS DEVOTED TO BUSINESS: NA Stevenson House, 501c3 charity providing low income housing for senior citizens, Consultant to the investment committee; I do not have any investment powers or spending powers, and I am not making any investment decisions., Provide market and economic commentary to the investment committee at their quarterly meetings, start dte-10/31/2018, Palo Alto CaliforniaUnited States-94306
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-13 |
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