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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-03 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
1321 Osos Street Suite 210, San Luis Obispo, CA 93401 • United States
2005 South Broadway, Santa Maria, CA 93454 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Eugene | OR | 03/1994 | Present |
| Morgan Stanley Smith Barney | San Luis Obispo | CA | 06/2009 | Present |
*390251 -Investment related Yes; Executor/Co-Executor (proprietor, partner, officer, director, employee, trustee, agent); Feb 2020; During business hours: 0; After business hours: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-04 |
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