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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2023-12-11 |
| FL | RA | APPROVED | 2022-02-25 |
| CT | RA | APPROVED | 2016-11-02 |
| TX | RA | APPROVED_RES | 2016-10-28 |
Branch Locations
30 Jelliff Ln 2Nd Fl, Southport, CT 06890 • United States
1990 Main Street Suite 750 [Office Of Convenience], Sarasota, FL 34236 • United States
Park City, UT • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Westport | CT | 06/2009 | 10/2016 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2016 |
| Wells Fargo Advisors Financial Network, Llc | Southport | CT | 10/2016 | Present |
SHEARWATER CREEK LLC, INV RELATED, SOUTHPORT, CT, 60% OWNERSHIP, START: 6/3/2019, 0 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE LLC, CO-TRUSTEE FOR THE SHEARWATER CREEK LLC 401K, INV RELATED, SOUTHPORT, CT, START: 6/3/2019, 0 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE 401K. ACK CAPITAL, LLC, INVT RELATED, PARK CITY, UT, 70% OWNERSHIP WITH SPOUSE, START DATE 12/1/2017, LESS THAN 1 HR PER MONTH, 0 HRS DURING TRADING, OWNERS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-17 |
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