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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2017-03-02 |
Branch Locations
Enterprise Mill 1450 Greene Street, Suite 501, Augusta, GA 30901 • United States
Augusta, GA • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Augusta | GA | 06/2009 | 02/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 02/2017 |
| Rbc Capital Markets, Llc | Augusta | GA | 02/2017 | Present |
SCHAFFER FAMILY PRIVATE FOUNDATION INC; AUGUSTA, GA; TRUSTEE; GIVING MONEY TO QUALIFIED CHARITIES; NO TIME IS DEVOTED PER WEEK DURING TRADING AND NON TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-31 |
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