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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2017-08-14 |
| TX | RA | APPROVED_RES | 2017-08-11 |
Branch Locations
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 Llc | Boulder | CO | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Boulder | CO | 11/2016 | 08/2017 |
| Morgan Stanley | Boulder | CO | 08/2017 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 08/2017 | Present |
1.John Givens; Investment related No; Rental Property; Chairman; Role/position/job title (proprietor, partner, officer, director, employee, trustee, agent); Aug/2014; During business hours: 0; After business hours: 0;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-10 |
| S63 | Uniform Securities Agent State Law Examination | 1981-08-10 |
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