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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-01-26 |
| CA | RA | APPROVED | 2019-09-12 |
Branch Locations
101 California Street Suite 4500, San Francisco, CA 94111 • United States
East Hampton, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | San Francisco | CA | 06/2009 | 09/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2019 |
| Raymond James & Associates | San Francisco | CA | 09/2019 | Present |
(1)Name of Business: Anchor Society Address: 52 Toilsome Lane, East Hampton, NY, 11937, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Board Member, Committee Member Investment Related: Yes Start Date: 01/18/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is a newly formed non-profit, funded by donations (currently at $15k so far.) I will be helping them with the financial aspects: reconciling their bank account, recording donations, expenses, etc. (2)Name of Business: URI - United Religions Initiative Address: 52 Toilsome Lane, East Hampton, NY, 11937, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member, Committee Member Investment Related: Yes Start Date: 09/12/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Member of investment committee, working in coordination with Sepio Capital. I do not make or recommend specific investment decisions: URI has hired Sepio as the adviser, my role is review and look over the information that Sepio provides to then.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-06 |
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