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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-01-15 |
| TX | RA | APPROVED | 2020-01-15 |
Branch Locations
1020 10Th Street 2Nd Floor, Modesto, CA 95354 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stockton | CA | 04/2016 | 04/2018 |
| Raymond James & Associates | Walnut Creek | CA | 04/2018 | 12/2019 |
| Morgan Stanley | Modesto | CA | 01/2020 | Present |
*387889- Personal Rental Real Estate; Investment related-Yes; Modesto, California; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 10/2017; During business hours: 0; After business hours: 20; Property Management *392533 -Trustee/Co-Trustee (proprietor, partner, officer, director, employee, trustee, agent); Jan 2020; During business hours: 0; After business hours: 0; Control or Authority over Outside Securities Account(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 1989-07-12 |
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