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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-08-31 |
| TX | RA | APPROVED | 2017-08-31 |
Branch Locations
3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403 • 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 | Santa Rosa | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Santa Rosa | CA | 11/2016 | 08/2017 |
| Morgan Stanley | Santa Rosa | CA | 08/2017 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 10/2017 | Present |
*377980 - Refreeing; Investment related No; Windsor, CA; Independent Contractor; Soccer Referee (proprietor, partner, officer, director, employee, trustee, agent); Aug 2019; During business hours: 0; After business hours: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-14 |
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