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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-05-09 |
| CA | RA | APPROVED | 2017-05-05 |
Branch Locations
1111 Coast Village Road, Montecito, CA 93108 • 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 | Santa Barbara | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Santa Barbara | CA | 11/2016 | 05/2017 |
| Morgan Stanley | Montecito | CA | 05/2017 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 06/2017 | Present |
1. *321131 - Rental property; Investment Related - Yes; Carpinteria, California; Rental Property; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 01/2020; During Business Hours: 0; After Business Hours: 1; 50% owner 2. *321134 - Standing Together To End Sexual Assault - STESA; Investment Related - No; Santa Barbara, CA; Non-Profit; Investment Committee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); Jan 2019; During Business Hours: 0; After Business Hours: 1; Investment Decisions/Advice.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 1983-10-26 |
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