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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2026-05-01 |
| TX | RA | APPROVED | 2026-05-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 02/2011 | 11/2020 |
| Bank Of America, N.A. | New York | NY | 10/2011 | 11/2020 |
| Morgan Stanley Smith Barney Llc | New York | NY | 11/2020 | 05/2026 |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2020 | 05/2026 |
| Wells Fargo Clearing Services, Llc | New York | NY | 05/2026 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2024 | Present |
*580517 - Marist College; Investment related-No; Poughkeepsie, New York; Education; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 02/2024; During business hours: 0; After business hours: 2; Administrative *634315- Marist University; Investment related: No; Poughkeepsie, New York; Public Schools; Board Member Board member (proprietor, partner, officer, director, employee, trustee, agent); 03/2025; During business hours: 0; After business hours: 1; Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-23 |
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