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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 |
|---|---|---|---|
| MO | RA | APPROVED | 2020-08-05 |
| TX | RA | APPROVED | 2020-08-05 |
Branch Locations
14767 North Outer 40 Rd Fl 2, Chesterfield, MO 63017 • United States
Weldon Spring, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Chesterfield | MO | 05/2011 | 08/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2020 |
| Wells Fargo Clearing Services, Llc | Chesterfield | MO | 08/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
HOFMAN FAMILY LAKE SHERWOOD, LLC, INVT RELATED, ST. CHARLES, MO, 16.67% OWNERSHIP, START 8/5/2020, 1 HR PER MONTH, 1 HR DURING TRADING, GENERAL PARTNER. STUB HUB, NOT INV RELATED, ST. CHARLES, MO, 100% OWNERSHIP, START 1/1/2012, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING, SELLING PERSONAL SPORTING TICKETS. LAKE SHERWOOD ESTATE HOMEOWNERS ASSOCIATION; INF. RELATED; LAKE SHERWOOD, MO; FINANCE COMMITTEE AT LARGE MEMBER; HOA; START DATE 8/2022; 5 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS, ASSIST IN DEVELOPMING A BUDGET FOR THE HOA FOR THE BOARD TO APPROVAL. LAKE SHERWOOD EASTATES ASSOCIATION, NOT INVT RELATED, MARTHASVILLE, MO, BOARD MEMBER, START DATE 7/1/2024, 5 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, DISCUSSING AND MAINTAINING ROADS, WATER AND SEWER SYSTEMS, RULES, AND PROCEDURES REGARDING AMENITIES INCLUDING 7 LAKES AND DAMS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-07 |
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