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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-09-25 |
| FL | RA | APPROVED | 2017-07-19 |
Branch Locations
801 Brickell Avenue Suite 2100, Miami, FL 33131 • United States
Miami, FL • United States
2 disclosure categories 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 & Co., Incorporated | Boston | MA | 03/2008 | 07/2017 |
| Morgan Stanley Smith Barney | Boston | MA | 06/2009 | 07/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 07/2017 |
| Rbc Capital Markets, Llc | Miami | FL | 07/2017 | Present |
| City National Bank | Miami | FL | 12/2018 | Present |
(1) 101 FERMWOOD LLC.; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NOT AN BUSINESS. THIS IS AN ESTATE PLANNING BROKERAGE ACCOUNT; CAPACITY: OWNER-ACTIVE; START DATE: 10/3/2011; DUTIES: INVESTMENT ADVICE; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1. (2) Name of Entity: Nanceco LLC Non-Investment related Address of Entity: 7935 Fisher Island Drive Miami, FL 33109 Nature of OBA: Personal LLC Position/Title/Relationship: Owner - Active Start Date: 01/01/09 Time Devoted: 1 hour; 1 hour during securities trading hours Duties: Any and all necessary to run the entity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1982-01-07 |
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