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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2019-04-26 |
| TX | RA | APPROVED | 2019-04-26 |
Branch Locations
7777 Washington Village Drive Suite 100, Centerville, OH 45459 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Miamisburg | OH | 10/1999 | 04/2019 |
| Bank Of America, N.A. | Miamisburg | OH | 12/2009 | 04/2019 |
| Morgan Stanley | Centerville | OH | 04/2019 | Present |
1. FINRA; Investment related; Chicago IL; ARBITRATOR (proprietor, partner, officer, director, employee, trustee, agent); Aug 1992; Idustry arb
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-17 |
| S63 | Uniform Securities Agent State Law Examination | 1981-06-30 |
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