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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-09-01 |
| ME | RA | APPROVED | 2009-06-01 |
Branch Locations
100 Middle Street 3Rd Floor, Portland, ME 04101 • 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Portland | ME | 05/2000 | Present |
| Morgan Stanley Smith Barney | Portland | ME | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*426573 - 642 Gray Road B; Investment related Yes; Gorham, ME; Real Estate; Owner (proprietor, partner, officer, director, employee, trustee, agent); Oct 2016; During business hours: 0; After business hours: 2
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-08-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-27 |
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