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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-04-14 |
| NY | RA | APPROVED | 2025-02-12 |
Branch Locations
2 disclosure categories 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 Llc | Melville | NY | 02/2023 | 05/2024 |
| Wells Fargo Clearing Services, Llc. | Woodbury | NY | 02/2025 | Present |
| Not Employed | Syosset | NY | 11/2024 | 01/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Great Neck | NY | 06/2009 | 02/2023 |
| Pruco Securities, Llc | Melville | NY | 06/2024 | 10/2024 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-10 |
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