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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-10-03 |
| OR | RA | APPROVED | 2020-10-06 |
| CA | RA | APPROVED | 2020-10-02 |
Branch Locations
1101 5Th Avenue Suite 275, San Rafael, CA 94901 • United States
San Rafael, CA • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | San Rafael | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Rafael | CA | 11/2016 | 10/2020 |
| Morgan Stanley Smith Barney Llc | San Rafael | CA | 10/2020 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 11/2020 | Present |
EXECUTOR FOR MOTHER'S ESTATE; INV RELATED; SAN ANSELMO, CA; START: 2/4/19; 4 HRS/MO; 0 DURING TRADING. CO-TRUSTEE FOR MOTHER; INV RELATED; SAN ANSELMO, CA; START: 2/4/19; 4 HRS/MO, 0 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-08-17 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-21 |
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