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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2026-04-13 |
| TX | RA | APPROVED_RES | 2026-02-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Scranton | PA | 05/2006 | 12/2022 |
| Wells Fargo Clearing Services, Llc ( | Plains | PA | 01/2026 | Present |
| Functional Connections | Sweet Valley | PA | 12/2022 | 12/2025 |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2026-05-02 |
| S65 | Uniform Investment Adviser Law Examination | 2026-04-13 |
| S66 | Uniform Combined State Law Examination | 2012-06-01 |
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