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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-06-05 |
| CA | RA | APPROVED | 2021-07-08 |
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 |
|---|---|---|---|---|
| Wells Fargo Bank | Newport Beach | CA | 06/2007 | 07/2021 |
| Wells Fargo Advisors Llc | Laguna Beach | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Laguna Beach | CA | 11/2016 | 07/2021 |
| Morgan Stanley Smith Barne Llc | Newport Beach | CA | 07/2021 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 08/2021 | Present |
*449603 - Promised Land Joint Venture Multifamily LLC; Investment related - Yes; Laguna Beach, California; Real Estate; Member (proprietor, partner, officer, director, employee, trustee, agent); 08/2006; During business hours: 0; After business hours: 2; Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-09-28 |
| S65 | Uniform Investment Adviser Law Examination | 1996-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-18 |
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