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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2026-04-16 |
Branch Locations
2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States
6778 Bernal Ave, Pleasanton, CA 94566 • 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 |
|---|---|---|---|---|
| Jackson Family Wines | Santa Rosa | CA | 02/2015 | 06/2018 |
| Morgan Stanley Smith Barney Llc | Walnut Creek | CA | 03/2018 | 07/2018 |
| Morgan Stanley | Walnut Creek | CA | 08/2018 | 11/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oakland | CA | 04/2019 | 03/2022 |
| Unemployed | Pleasant Hill | CA | 11/2018 | 03/2019 |
| Bank Of America, N.A. | Oakland | CA | 05/2019 | 03/2022 |
| Morgan Stanley | Pleasanton | CA | 03/2022 | 12/2025 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 12/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 2026-04-13 |
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