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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-06-07 |
| TX | RA | APPROVED | 2021-06-04 |
Branch Locations
3801 Pga Boulevard Suite 700, Palm Beach Gardens, FL 33410 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Chicago | IL | 06/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chicago | IL | 11/2016 | 06/2021 |
| Morgan Stanley Smith Barney Llc | Palm Beach Gardens | FL | 06/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 07/2021 | Present |
TRUSTEE FOR COUSIN'S TRUST, INV RELATED, CHICAGO, IL, START: 10/1/2018, 3 HRS/MONTH, 0 HRS DURING TRADING. CO-TRUSTEE FOR COUSIN'S TRUST, INV RELATED, SOUTHFIELD, MI, START: 7/1/2019, 2 HRS/MONTH, 0 HRS DURING TRADING.; CO-TRUSTEE FOR COUSIN'S TRUST, INV RELATED, SOUTHFIELD, MI, START: 7/1/2019, 2 HRS/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR FATHER'S TRUST, INV RELATED, BOYNTON BEACH, FL, START: 9/9/20019, LESS THAN 1 HR/MONTH, LESS THAN 1 HR DURING TRADING.; TRUSTEE FOR MOTHER'S TRUST, INV RELATED, VILLAGE OF GOLF, FL, START: 12/5/2019, LESS THAN 1 HR/MONTH, 0 HRS DURING TRADING.; PERSONAL REPRESENTATIVE FOR FATHER'S COUSIN, INV RELATED, VILLAGE OF GOF, FL, START: 6/30/2020, 3 HOURS/MONTH, 0 HRS DURING TRADING.; POWER OF ATTORNEY FOR MOTHER, INV RELATED, VILLAGE OF GOLF, FL, START: 9/11/2020, 1 HR/MONTH, 1 HR DURING TRADING.; CO-TRUSTEE FOR COUSIN'S TRUST, INV RELATED, PASADENA, CA, START: 11/01/2020, 0 HRS/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR CHILDREN, NIECES AND NEWPHEWS (7 TRUSTS), INV RELATED, BOYNTON BEACH, FL, START: 11/17/2020, LESS THAN 1 HR/MONTH, 0 HRS DURING TRADING.; PERSONAL REP FOR FATHER, INV RELATED, BOYNTON BEACH, FL, START: 11/19/2020, 4 HRS/MONTH, 1 HR DURING TRADING.; TRUSTEE FOR NIECE, INV RELATED, BOYNTON BEACH, FL, START: 11/20/2020, 1 HR/MONTH, LESS THAN 1 HR DURING TRADING.; TRUSTEE FOR FATHERS DECEDANT TRUST, INV RELATED, BOYNTON BEACH, FL, START: 12/22/2020, 1 HR/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR FAMILY TRUST, INV RELATED, BOYNTON, BEACH, FL, START: 5/26/2021, LESS THAN 1 HR/MONTH, 0 HRS DURING TRADING. 443301- Trust; Investment related Yes; Chicago, Illinois; Trust; Trustee/Co-Trustee; 11/2017; During business hours: 0; After business hours: 1; *445712- Trust; Investment related Yes; Chicago, Illinois; Trust; Trustee/Co-Trustee; 11/2017; During business hours: 0; After business hours: 2; *445722 - Carlene Blunt Canadian LLC; Investment related: Yes; Chicago, Illinois; Investment/Finance/Banking; Co-Manager (proprietor, partner, officer, director, employee, trustee, agent); 11/2017; During business hours: 0; After business hours: 2; Control or Authority over Outside Securities Account(s), Investment Decisions/Advice *549520- Frances L. Blunt Canadian LLC; Investment related: No; Chicago, Illinois; Investment/Finance/Banking; Co-Manager (proprietor, partner, officer, director, employee, trustee, agent); 11/2017; During business hours: 0; After business hours: 1; Control or Authority over Outside Securities Account(s):Investment Decisions/Advice *549522- Patricia P. Blunt Canadian LLC; Investment related: Yes; Chicago, Illinois; Investment/Finance/Banking; Co-Manager (proprietor, partner, officer, director, employee, trustee, agent); 11/2017; During business hours: 0; After business hours: 1; Control or Authority over Outside Securities Account(s):Investment Decisions/Advice
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 2002-07-11 |
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