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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-28 |
| TX | RA | APPROVED | 2021-06-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Houston | TX | 01/2016 | 05/2017 |
| Rbc Capital Markets, Llc | Houston | TX | 05/2017 | 05/2021 |
| Morgan Stanley | Houston | TX | 06/2021 | Present |
| E*Trade Securities, Llc | New York | NY | 01/2022 | 09/2023 |
(1) *443816 - National Association of Stock Plan Professionals (NASPP) - Houston Chapter; Investment related - No; Concord, California; Education; President of the Houston Chapter of NASPP (proprietor, partner, officer, director, employee, trustee, agent); 06/2021; During business hours: 1; After business hours: 2; Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 2011-12-17 |
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