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1166 Avenue Of The Americas, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-07-16 |
Branch Locations
9171 Towne Centre Drive Suite 100, San Diego, CA 92122 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Portland | OR | 01/2016 | 07/2019 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 02/2016 | 07/2019 |
| Mma Agency | San Diego | CA | 07/2019 | Present |
| Mma Securities | San Diego | CA | 07/2019 | Present |
1.The Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework. 2. Rental Property; Beaverton, OR; Rental; Investment related; Sole Proprietor / Owner / Partner; 04/2017; During business hours: 0; After business hours: 0 3. Rental Property; North Plains, OR; Rental; Investment related; Sole Proprietor / Owner / Partner; 07/2019; During business hours: 0; After business hours: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-05-19 |
| S65 | Uniform Investment Adviser Law Examination | 2010-09-10 |
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