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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 | 2020-02-18 |
| TX | RA | APPROVED_RES | 2020-02-18 |
Branch Locations
2033 N Main St Ste 800, Walnut Creek, CA 94596 • United States
1455 First St Ste 201, Napa, CA 94559 • United States
Walnut Creek, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Concord | CA | 06/2009 | 02/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 02/2020 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 02/2020 | Present |
1. 180 SQUARED INC IPTV DEPLOYMENT 2. DUTY FREE GOLF DISTRIBUTION OF GOLF PRODUCTS DUTY FREE RENTAL PROPERTY; INVESTMENT RELATED; RODEO,CA; 50% OWNERSHIP; START DATE 03/01/2013; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-23 |
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