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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2022-09-13 |
| TX | RA | APPROVED_RES | 2011-07-20 |
| PA | RA | APPROVED | 2011-01-31 |
Branch Locations
1350 Broadcasting Road Suite 100, Wyomissing, PA 19610 • United States
Bend, OR • 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 Llc | Bend | OR | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
1. Wyomissing Foundation ; Not Investment Related ; Community Philanthropy ; Committee Member-Finance ; Jul 2019 ; During business hours : 0 ; After business hours : 1 ; will meet quarterly with the fund's advisor who makes recommendations. The committee provides oversight to make sure the fund is in line with the investment policy.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1989-07-26 |
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