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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2024-03-04
TX RA APPROVED 2024-02-29
  • GA RA
    APPROVED
    Since 2024-03-04
  • TX RA
    APPROVED
    Since 2024-02-29

Branch Locations

6055 Lakeside Commons Drive Suite 450, Macon, GA 31210 • United States

Milledgeville, GA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Macon GA 08/2008 02/2024
Bank Of America, N.A. Macon GA 11/2009 02/2024
Morgan Stanley Smith Barney Llc Macon GA 02/2024 Present
Morgan Stanley Private Bank, N.A New York NY 03/2024 Present
  • 08/2008 → 02/2024
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Macon, GA
  • 11/2009 → 02/2024
    Bank Of America, N.A.
    Macon, GA
  • 02/2024 → Present
    Morgan Stanley Smith Barney Llc
    Macon, GA
  • 03/2024 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Other Businesses

(1) Georgia Military Academy / Non-Investment Related / Milledgeville, GA / Charitable Organization / Advisory Board Member / Start 01-December-2020 / 2 hours devoted monthly / 0 during trading hours / asked to be on the Finance Committee; prepare and propose operating budget of Foundation; shall maintain budget oversite; committee will review potential gifts other than outright gifts to determine appropriateness by the Foundation; there are 8 people on. (3) RKM 3157 / Investment Related / Milledgeville, GA / LLC / Limited Partner / Start 01-December-2009 / 5 hours devoted annually / 0 during trading hours / Compliance is aware of my interest in this investment. There are 3 owners and we meet twice a year to review financials. There is not much to this. *587685- Georgia Military College; Investment Related: No; Milledgeville, Georgia; Education; Board Member, Finance Committee, Other Committee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 01/2018; During Business Hours: 4; After Business Hours: 2; Investment Decisions/Advice

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-07-01
S63 Uniform Securities Agent State Law Examination 1985-08-01
  • S65 Uniform Investment Adviser Law Examination
    1991-07-01
  • S63 Uniform Securities Agent State Law Examination
    1985-08-01

View on SEC IAPD

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