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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-08-04 |
| CA | RA | APPROVED | 2019-06-11 |
Branch Locations
6781 N Palm Ave Ste 201 [Nt/Nv-Rbo], Fresno, CA 93704 • United States
San Carlos And Ocean Ave, Carmel, CA 93923 • United States
447 Canyon Del Rey Blvd, Del Rey Oaks, CA 93940 • United States
815 Canyon Del Rey Blvd, Del Rey Oaks, CA 93940 • 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 Smith Barney Llc | Monterey | CA | 06/2009 | 06/2019 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 06/2019 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 06/2019 | Present |
RENTAL PROPERTY, INVT RELATED, FLORENCE, OR, 100% OWNERSHIP WITH SPOUSE, START DATE 1/1/2019, 0 HRS PER MONTH, 0 HRS DURING TRADING, OWNER. RENTAL PROPERTY, INVT RELATED, PALM DESERT, CA, 100% OWNERSHIP , START DATE 1/1/2021, 0 HRS PER MONTH, 0 HRS DURING TRADING, OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-27 |
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