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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-11-05 |
Branch Locations
9665 Wilshire Boulevard Suite 600, Beverly Hills, CA 90212 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Century City | CA | 04/2016 | 11/2019 |
| Bank Of America, N.A. | Century City | CA | 05/2016 | 11/2019 |
| Morgan Stanley Smith Barney Llc | Beverly Hills | CA | 11/2019 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2019 | Present |
I*123905 For profit or not for profit: For-Profit Organization Name of outside business organization: WECC Investment related: N Address of business: Oxnard, California 93030 Nature of business: Corporation, Position, title, association: Other, no role. Start date of relationship: 6/4/2019 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Would not have any duties or responsibilities to the company.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-10-24 |
| S63 | Uniform Securities Agent State Law Examination | 2013-04-17 |
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