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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-01-05 |
| TX | RA | APPROVED | 2024-01-05 |
Branch Locations
1332 Anacapa Street 2Nd Floor, Santa Barbara, CA 93101 • United States
555 California Street Pwm, San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Santa Barbara | CA | 11/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Santa Barbara | CA | 11/2016 | 11/2020 |
| Jpmorgan Chase Bank, N.A. | Westlake Village | CA | 11/2020 | 10/2023 |
| Jpmorgan Securities Llc | Westlake Village | CA | 11/2020 | 10/2023 |
| Morgan Stanley Smith Barney Llc | Santa Barbara | CA | 01/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2024 | Present |
*582640 - Wolf Museum of Explorartion and Innovation (MOXI); Investment Related - No; Santa Barbara, California; Children/Youth, Education, Environmental; Board Member (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 01/2019; During Business Hours: 3; After Business Hours: 3; Other:Fundraising - board leadership and on two committees, Active on Capital Campaign for fundraising and Investment Committee non-authority position (3) Winchester Family Trust / Investment Related / Santa Barbara, CA / Co-Trustee for family trust / Start April-2011 / 1 hour devoted per month / 0 during trading hours. *582642 - Rancho Oaks Investment Co. , LLC; Investment Related: No; Santa Barbara, California; Rental Property, Real Estate; Managing Member (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 03/2018; During Business Hours: 0; After Business Hours: 1; Property Management, Check Signing/Funds Disbursements *582641 - 1195 TO Blvd, LLC; Investment Related: No; Santa Barbara, California; Real Estate; Managing Member (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 12/2023; During Business Hours: 0; After Business Hours: 1; Property Management, Check Signing/Funds Disbursements
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-06-02 |
| S65 | Uniform Investment Adviser Law Examination | 2012-04-10 |
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