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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2020-07-01 |
| TX | RA | APPROVED | 2020-06-25 |
Branch Locations
One North Brentwood Suite 900, St. Louis, MO 63105-3926 • United States
Webster Groves, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | St. Louis | MO | 11/2005 | 06/2020 |
| Morgan Stanley Smith Barney | St. Louis | MO | 06/2009 | 06/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 06/2020 |
| Rbc Capital Markets, Llc | St. Louis | MO | 06/2020 | Present |
| City National Bank | St. Louis | MO | 08/2020 | Present |
1. DIVERSIFIED INVESTMENT CLUB - INVESTMENT MEMBER 2. Rental Property; Investment related; Real Estate; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Apr 1999; During business hours: 0; After business hours: 0; no involvement 3. Name: Angel Flight Central Address: Charles B. Wheeler Downtown Airport 500 Richards Road Kansas City, MO. 64116 Business Description: Provides medical and humanitarian flights throughout 10 states in the central United States. Business is not investment related Projected Start Date: 08/05/15 Capacity: Director Duties Performed: Help with fundraising, mission awareness and organizational planning. No financial role other than a board vote on general matters. Devoted to this OBA per Month: Only occasional; 4 meetings a year on average. Hours Devoted to this OBA during business hours: 0 4. Name: N/A part owner of wife's investment property Address: 467 & 469 Pasadena Ave Webster Groves, MO 63119 Business Description: Investment Property Business is not investment related Projected Start Date: 08/01/96 Capacity: Owner - Passive Duties Performed: Mostly a passive owner. There are no security accounts Devoted to this OBA per Month: 0.5 Hours Devoted to this OBA during business hours: 0 5. Name: Greater St Louis Business Aviation Assoc. Educ. Foundation Address: 595 Bell Ave, Suite 100 Chesterfield, MO 63005 Business Description: Foundation that provides educational scholarships and funding to promote corporate aviation Business is not investment related Projected Start Date: 09/01/14 Capacity: Director Duties Performed: Mostly look for ways to get donations and go through scholarship applications. The treasurer has the sole responsibility for managing security and bank accounts. Devoted to this OBA per Month: 0.5 Hours Devoted to this OBA during business hours: 0 6. Name: Dauphin Island Air, LLC Address: 2704 S. Warson Rd Ladue, MO 63124 Business Description: LLC for aircraft ownership with aircraft partner Business is not investment related Projected Start Date: 09/01/20 Capacity: Owner - Active Duties Performed: Pilot Devoted to this OBA per Month: 3 Hours Devoted to this OBA during business hours: 0 7. Name of entity: In His Hands Orphan Outreach Non-Investment related Address of Entity: PO BOX 425, Rochester, IL 625# Nature of OBA: Orphan & Widow outreach Position/Title/Relationship: Board of Directors Start date: 03/18/23 Time devoted: 0.5 Duties: Help come up with programs to benefit widows & orphans 8.NAME OF ENTITY: Radically Inspired ADDRESS: 302 N Clay Road Kirkwood, MO 63122 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Movie Production CAPACITY: Other / Executive Producer START DATE: 07/03/2023 DUTIES: Help John O'Leary inspire others by producing a movie about his life HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (9) NAME OF ENTITY: Sisters of Saint Joseph of Carondelet Saint Louis Province ADDRESS: 6400 Minnesota Ave Saint Louis MO 63111 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Religious Institution START DATE: Aug 01, 2026 CAPACITY: Board of Directors DUTIES: Board Member- meet to ensure the institution is growing young women in Christ and education. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-03 |
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