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One James Center 901 East Cary Street, Suite 1100, Richmond, VA 23219 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-11-07 |
| VA | RA | APPROVED | 2016-11-08 |
Branch Locations
1104 Commerce St. P.O. Box 570, Lynchburg, VA 24504 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Lynchburg | VA | 07/2004 | 11/2016 |
| Morgan Stanley Smith Barney | Lynchburg | VA | 06/2009 | 11/2016 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2016 |
| Davenport & Company Llc | Lynchburg | VA | 11/2016 | Present |
1. Westminster Canterbury Retirement Home; non-business investment related; 501 VES Road, Lynchburg, VA., position: Member of Board of Trustees; start date with entity: 02-12-2019; duties: attend board meetings; no more than 5 hrs per month either during or outside of business hrs. 2. Lynchburg Estate Planning; yes investment related; Oakwood CC., Rivermont Ave., Lynchburg, VA; started with entity: 01-01-2018; less than 5 hrs per month outside business hrs.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-05 |
| S65 | Uniform Investment Adviser Law Examination | 1993-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-17 |
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