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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2020-01-17 |
| TX | RA | APPROVED | 2020-01-17 |
Branch Locations
563 Hub Boulevard Suite 301, Bowling Green, KY 42103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Bowling Green | KY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Bowling Green | KY | 11/2016 | 01/2020 |
| Morgan Stanley Smith Barney Llc | Bowling Green | KY | 01/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 03/2020 | Present |
1. NORTH AMERICAN TRADING CO LLC, NOT INVESTMENT RELATED, 780 CASTLE HEIGHTS ROAD BOWLING GREEN KY, INTERNET SALES OF BOAT MOTORS/DURABLE GOODS, SOLE OWNER, BEGAN 1/16/2007, 1 HOUR/MONTH, NOT DURING BUSINESS HOURS. NOTARY PUBLIC, NOT INVESTMENT RELATED, BOWLING GREEN, KY. START: 04/01/2015, LESS THAN 1 HOUR/MONTH, 0 DURING TRADING, NOTARIZE DOCUMENTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 1983-05-11 |
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