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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-10-20 |
| TX | RA | APPROVED | 2025-09-26 |
Branch Locations
6805 Carnegie Boulevard Suite 400, Charlotte, NC 28211 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Charlotte | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 09/2025 |
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 09/2025 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2025 | Present |
(1) COOPER SUPPLY LLC / INVESTMENT RELATED / CHARLOTTE, NC / 100% OWNERSHIP / START 10-MAY-2019 / 2 HOURS DEVOTED MONTHLY / 0 DURING TRADING. (2) MISTY WAY LLC / INVESTMENT RELATED / CHARLOTTE, NC / 40% OWNERSHIP / START 04-MARCH-2020 / 2 HOURS DEVOTED MONTHLY / 0 DURING TRADING / INVESTOR.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 1987-11-03 |
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