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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2019-05-17 |
| TX | RA | APPROVED | 2019-05-17 |
Branch Locations
121 South Tejon Street Suite 700, Colorado Springs, CO 80903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Colorado Springs | CO | 06/1999 | 05/2019 |
| Bank Of America,Na | Colorado Springs | CO | 12/2009 | 05/2019 |
| Morgan Stanley | Colorado Springs | CO | 05/2019 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2019 | Present |
I*79068 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RMC FAMILY TRUST INVESTMENT RELATED: N ADDRESS OF BUSINESS: COLORADO SPRINGS, COLORADO 80921 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 1/22/2015 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MY SISTER PASSED ON JANUARY 22ND, 2015 AND I WAS NAMED TRUSTEE AT THAT TIME. *589912 - US Soccer ; Investment related - No ; Chicago,Illinois ; Recreation ; Employee(proprietor, partner, officer, director, employee, trustee, agent) ; 4/2024 ; During business hours : 0 ; After business hours : 10 ; Labor/Service
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-27 |
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