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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-01-31 |
| SC | RA | APPROVED | 2017-07-05 |
Branch Locations
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 |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Anderson | SC | 02/2009 | 07/2017 |
| Morgan Stanley | Anderson | SC | 07/2017 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 08/2017 | Present |
*424268 - Hogskin Hunt Club; Investment related No; Honea Path, South Carolina; Recreation; Officer (proprietor, partner, officer, director, employee, trustee, agent); Feb 2021; During business hours: 0; After business hours: 3.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-04 |
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