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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-04-27 |
| SC | RA | APPROVED | 2023-04-24 |
| TX | RA | APPROVED_RES | 2023-04-20 |
Branch Locations
13024 Ballantyne Corporate Place Suite 150, Charlotte, NC 28277 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors | Charlotte | NC | 09/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 04/2023 |
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 04/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 04/2023 | Present |
EXECUTOR FOR DAUGHTER / INVESTMENT RELATED / CLOVER, SC / START 22-AUGUST-2022 / 10 HOURS DEVOTED PER MONTH / 1 DURING TRADING HOURS. *552555 - South Charlotte Partners, Inc; Investment related -No; Charlotte, North Carolina; Public Safety, Social & Recreational, Civic/Community, Art/Culture; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 01/2023; During business hours: 0; After business hours: 6; Business Development/Growth *629006- Eureka Trading Company, LLC; Investment related: Yes; Clover, South Carolina; Investment/Finance/Banking; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 02/2025; During business hours: 0; After business hours: 8; Investment Decisions/Advice
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-09-05 |
| S63 | Uniform Securities Agent State Law Examination | 1980-03-11 |
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