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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2022-10-05 |
| CA | RA | APPROVED | 2022-09-21 |
| IN | RA | APPROVED | 2022-09-21 |
| TX | RA | APPROVED | 2022-09-21 |
Branch Locations
20400 Stevens Creek Boulevard Suite 350, Cupertino, CA 95014 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E*Trade Securities Llc | Cupertino | CA | 02/2013 | 02/2020 |
| E*Trade Capital Management, Llc | Cupertino | CA | 02/2013 | 02/2020 |
| E*Trade Securities Llc | Cupertino | CA | 02/2020 | 09/2022 |
| E*Trade Capital Management Llc | Cupertino | CA | 02/2020 | 09/2022 |
| Morgan Stanley | Cupertino | CA | 09/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2022 | Present |
OBA #2 1. Name: Poke House - Monterey LLC 2. Investment-related: No 3. Address: 1543 Pacific Ave, Santa Cruz, California 95060 4. Nature: Passive Investor in a Poke Restaurant 5. Position: Passive investor 6. Start Date: 1/15/2019 7. Approx. number of hrs/mth devoted to the other business: 2 8. Number of hrs devoted during securities trading hrs: 0 9. Duties: Passive Investor in a Poke Restaurant
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 2010-01-11 |
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