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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-01-29 |
| NC | RA | APPROVED | 2020-07-16 |
| TX | RA | APPROVED | 2020-07-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 07/2020 |
| Stifel Nicolaus & Co Inc | Chapel Hill | NC | 07/2020 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 01/2019 |
1. Cypress LLC; 8601 Cypress Lakes Dr. A 407, Raleigh, NC 27615; Real Estate Investment; 1/4 Owner; 10/15/2008; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 2. Learning Outside; 2912B Jones Ferry Road, Chapel Hill, NC 27516; Teaching young kids about outside environment; Board Member; Help with organization; 09/21/2021; 1 Hour per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1980-09-12 |
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