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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2018-06-06 |
| TX | RA | APPROVED_RES | 2017-10-06 |
| CO | RA | APPROVED | 2017-09-25 |
Branch Locations
1030 Broad Street 3Rd Floor, Shrewsbury, NJ 07702 • United States
5251 Dtc Parkway Suite 1500, Greenwood Village, CO 80111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Guardian Llc | Charlotte | NC | 03/2013 | 07/2017 |
| Cetera Advisors | Denver | CO | 02/2015 | 07/2017 |
| Morgan Stanley | Denver | CO | 07/2017 | 06/2018 |
| Morgan Stanley | Shrewsbury | NJ | 06/2018 | Present |
1. NAME OF OTHER BUSINESS: ROVER INVESTMENT RELATED: NO ADDRESS: 2423 WEST COLORADO AVE. COLORADO SPRINGS, CO 80904 NATURE OF BUSINESS: ANIMAL CARE START DATE: FEBRUARY 2016 POSITION/TITLE/RELATIONSHIP: DOG SITTING APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: DOG SITTING INVOLVING WALK, FEED, AND ENTERTAINS MULTIPLE TYPES OF PETS. *960 - Market Force; Investment related No; Peachtree Corners, Georgia; Retail/Online Stores; Employee (proprietor, partner, officer, director, employee, trustee, agent); 04/2023 ; During business hours: 0; After business hours: 1; mystery shopper.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-09-08 |
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