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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 |
|---|---|---|---|
| NH | RA | APPROVED | 2021-12-01 |
| CT | RA | APPROVED | 2021-11-19 |
| TX | RA | APPROVED | 2021-11-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Waltham | MA | 06/2009 | Present |
| Wells Fargo Clearing Services, Llc | Worcester | MA | 11/2021 | Present |
Trustee for my deceased brother's trust for his two sons. I do not serve as the Financial Advisor on the accounts. The boys will take distributions at 25, 30 and 35 and trust will then close. Positions are based on deceased brother's conditions set up in the Will.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 2001-01-19 |
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