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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-02-01 |
| NC | RA | APPROVED | 2020-11-24 |
Branch Locations
13024 Ballantyne Corporate Plaza Suite 650, Charlotte, NC 28277 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 12/2014 | 05/2017 |
| Reliance Trust An Fis Company | Atlanta | GA | 06/2017 | 11/2017 |
| Morgan Stanley | Charlotte | NC | 11/2017 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 08/2019 | Present |
| Ubs Financial Services Inc. | Asheville | NC | 11/2020 | Present |
1) Name of Business: Humane Society Lake Norman./ Address: 7711 Trotter RdCharlotte United States 28216./ Investment Related: No./ Nature: This is an animal rescue run out of a client's home, I have just told her I am happy to be of help in planning adoption/foster events./ Role: Member of Board of directors./ Duty: I am simply going to assist, as needed, with animal adoption/foster events./ Start Date: 9/11/2023./ Time Required: No.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-04 |
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