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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-01-31 |
| TX | RA | APPROVED_RES | 2014-03-03 |
Branch Locations
28 State Street 26Th Floor, Boston, MA 02109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanlery Smith Barney | Boston | MA | 03/2010 | Present |
UBER; NOT-INVESTMENT RELATED; READING/MA; TRANSPORTATION; TITLE: DRIVER; START DATE: 02/2016; DURING BUSINESS HOURS - 0; AFTER BUSINESS HOURS - 8. *376216 - Estate; Investment related: No; Stoneham, MA; Estate Representative; May 2019; During business hours: 0; After business hours: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-09 |
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