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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2022-08-09 |
| TX | RA | APPROVED_RES | 2016-05-27 |
| LA | RA | APPROVED | 2010-11-12 |
Branch Locations
400 Convention Street Suite 400, Baton Rouge, LA 70802 • United States
Park City , UT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Baton Rouge | LA | 07/1993 | Present |
| Morgan Stanley Smith Barney | Baton Rouge | LA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*67893 - Catholic High School Foundation; Investment related - Yes; BATON ROUGE, Louisiana; Charitable, Non-Profit, Private Foundation; Advisory Board, Board Member, Finance Committee, Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 06/2009; During business hours: 0; After business hours: 2; Investment Decisions/Advice, Fundraising
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 1988-06-02 |
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