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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-07-21 |
| CA | RA | APPROVED | 2021-08-09 |
| ID | RA | APPROVED | 2020-10-20 |
| WA | RA | APPROVED | 2018-05-15 |
Branch Locations
555 California Street Pwm, San Francisco, CA 94104 • United States
601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P.MOrgan Securities Inc. | Seatle | WA | 12/2008 | 05/2018 |
| Jpmorgan Chase Bank | Seattle | WA | 11/2008 | 05/2018 |
| Morgan Stanley Smith Barney Llc | Seattle | WA | 05/2018 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 06/2018 | Present |
| Morgan Stanley Smith Barney Llc | Hailey | ID | 10/2020 | Present |
12th and Pike Associates, LLC; Investment related Yes; Seattle, WA; Real Estate; Managing Partner (proprietor, partner, officer, director, employee, trustee, agent); May 1998; After business hours: 0.1;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-15 |
| S65 | Uniform Investment Adviser Law Examination | 1993-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-25 |
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