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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-11-17 |
| NY | RA | APPROVED | 2021-11-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 11/2021 |
| Wells Fargo Clearing Services, Llc | Clinton | NY | 11/2021 | Present |
RENTAL PROPERTY, INV RELATED, ROME, NY, 100% OWNERSHIP WITH SPOUSE, START 10/1/2018, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING.| RENTAL PROPERTY, INV RELATED, UTICA, NY, 100% OWNERSHIP, START 1/1/2016, 5 HOURS PER MONTH, ZERO HOURS DURING TRADING.| COMMUNITY FOUNDATION; INV RELATED; UTICA, NY; COMMUNITY ENGAGEMENT IN ONEDIA COUNTY OF NYS; FINANCE COMMITTEE MEMBER; START DATE 06/02/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING TEUGEGA COUNTRY CLUB; NOT INV RELATED; ROME,NY; COUNTRY CLUB; AUDIT/BUDGET COMMITTEE ; START DATE: 01/01/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;| COPPER CITY CONSTRUCTION LLC -; INV RELATED;ROME ,NY; CONSTRUCTION MGT COMPANY. LLC ;51% OWNERSHIP; START DATE: 9/1/2026; 10 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 2012-12-14 |
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