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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-05-05 |
| TN | RA | APPROVED | 2009-06-01 |
Branch Locations
3102 West End Avenue Suite 200, Nashville, TN 37203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Nashville | TN | 09/1997 | Present |
| Morgan Stanley Smith Barney | Nashville | TN | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*567763- High Hopes, Inc.; Investment related -No; Franklin, Tennessee; Children/Youth; Advisory Board (proprietor, partner, officer, director, employee, trustee, agent); 01/2019; During business hours: 1; After business hours: 1; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-26 |
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