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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-30 |
| TX | RA | APPROVED_RES | 2023-06-30 |
Branch Locations
2121 Avenue Of The Stars (Fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067 • United States
3075 Townsgate Road Suite 300, Westlake Village, CA 91361 • 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 |
|---|---|---|---|---|
| Morgan Stanley | Westlake Village | CA | 06/2015 | 06/2023 |
| Morgan Stanley Private Bank, National Association | New York | NY | 09/2015 | 06/2023 |
| Stifel, Nicolaus & Company, Incorporated | Los Angeles | CA | 06/2023 | Present |
1.Distinguished Speakers Series; 904 Manhattan Ave, Manhattan beach, CA 90266; lectures; MC; 08/07/2000; 3 Hours per Month; Not during securities trading hours; Not Investment-Related. 2. FSFMC;11818 macoda lane, chatsworth, CA 91311; radio host; president; 08/10/2010; 0.00hrs/week; Not during securities trading hours; Not investment-related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-23 |
| S63 | Uniform Securities Agent State Law Examination | 1982-11-02 |
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