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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-10-28 |
| WA | RA | APPROVED | 2022-10-28 |
Branch Locations
500 108Th Avenue, North East Suite 1900, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seattle | WA | 01/1996 | 10/2022 |
| Bank Of America, N.A. | Seattle | WA | 09/2009 | 10/2022 |
| Morgan Stanley Smith Barney Llc | Bellevue | WA | 10/2022 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 11/2022 | Present |
531132 - JJHouse LLC; Investment Related; Mercer Island, WA; Real Estate; Partner, Manager (proprietor, partner, officer, director, employee, trustee, agent); Start 09/2020; 2 hours devoted monthly: 0 during trading hours; Administrative, Check Signing/Funds Disbursements
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-29 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-11 |
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