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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-06-29 |
| TX | RA | APPROVED_RES | 2018-06-29 |
Branch Locations
2033 N Main St Ste 800, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets, Inc. | Walnut Creek | CA | 11/2008 | 06/2018 |
| Morgan Stanley Smith Barney | Walnut Creek | CA | 06/2009 | 06/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 06/2018 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 06/2018 | Present |
RENTAL PROPERTY, INV RELATED, LAFAYETTE, CA, 100% OWNERSHIP WITH SPOUSE, START 7/5/2018, 2 HOURS PER MONTH, ZERO DURING TRADING, LANDLORD.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-05-26 |
| S65 | Uniform Investment Adviser Law Examination | 1995-05-18 |
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