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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-08 |
| CA | RA | APPROVED | 2024-01-05 |
Branch Locations
800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Newport Beach | CA | 05/2011 | 01/2019 |
| First Republic Securities Company, Llc | Newport Beach | CA | 01/2019 | 09/2023 |
| First Republic Investment Management, Inc. | Newport Beach | CA | 01/2019 | 09/2023 |
| J.P. Morgan Securities Llc | Newport Beach | CA | 09/2023 | 01/2024 |
| Morgan Stanley Smith Barney Llc | Newport Beach | CA | 01/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-24 |
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