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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2018-12-12 |
Branch Locations
297 N Hubbards Ln 2Nd & 3Rd Fl, Louisville, KY 40207 • United States
Goshen, KY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Louisville | KY | 06/2009 | 12/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 12/2018 |
| Wells Fargo Clearing Services Llc | Louisville | KY | 12/2018 | Present |
BUCKEYE TRACE HOMEOWNERS ASSOCIATION, NOT INVT RELATED, GOSHEN, KY, BOARD MEMBER, START DATE 8/1/2023, 1 HR PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, DISCUSSING HOMEOWNER'S SAFE AND PROTECTION OF PROPERTY VALUES, VOTING ON NEW CONSTRUCTION APPROVALS AND OUTSIDE STRUCTURES AND RESOLVING ISSUES IN THE NEIGHBORHOOD.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-27 |
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