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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-09-08 |
| TX | RA | APPROVED | 2020-09-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | San Jose | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 11/2016 | 09/2020 |
| Morgan Stanley Smith Barney Llc | Palo Alto | CA | 09/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2020 | Present |
*413189 - CHILDREN'S MUSICAL THEATER, SAN JOSE; Investment related - No; SAN JOSE, California; Non-Profit; Advisory Board (proprietor, partner, officer, director, employee, trustee, agent); 02/2015; During business hours: 0; After business hours: 5; Business Development/Growth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-23 |
| S63 | Uniform Securities Agent State Law Examination | 1986-01-06 |
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