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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2018-08-09 |
| TX | RA | APPROVED_RES | 2018-04-04 |
| WA | RA | APPROVED | 2017-09-22 |
Branch Locations
701 Pike Street Suite 2100, Seattle, WA 98101 • United States
Bainbridge Island, WA • 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 & Co., Incorporated | Salt Lake City | UT | 04/2007 | 09/2017 |
| Morgan Stanley Smith Barney | Salt Lake City | UT | 06/2009 | 09/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2017 |
| Oppenheimer & Co. Inc. | Seattle | WA | 09/2017 | Present |
FORMER BOARD MEMBER-NO ASSOCIATION SINCE 2010. EMERITUS/FORMER BOARD MEMBER-I HAVE NOTHING TO DO WITH THE BALLET.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 1986-01-09 |
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