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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-03-12 |
| TX | RA | APPROVED_RES | 2021-03-12 |
Branch Locations
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sonoma | CA | 10/2009 | 03/2021 |
| Bank Of America, N.A. | Napa | CA | 12/2009 | 03/2021 |
| Morgan Stanley Smith Barney Llc | Napa | CA | 03/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2021 | Present |
I*121756 For profit or not for profit: For-Profit Organization Name of outside business organization: dolan lake tahoe home llc Investment related: N Address of business: napa, California 94558 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 3/1/2016 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: this is a holding LLC for a family vacation home where all of the shareholders are siblings
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 1990-04-20 |
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