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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-26 |
| NE | RA | APPROVED | 2009-06-01 |
Branch Locations
13625 California Street Suite 400, Omaha, NE 68154 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Omaha | NE | 10/2006 | Present |
| Morgan Stanley Smith Barney | Omaha | NE | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. KAPITAL ASSET MANAGEMENT INVESTMENT, LLC- HOLDING COMPANY; OMAHA, NE; SHELL ACCOUNT THAT DOES HOLD INVESTMENTS- MEMBER, MANAGER- 100% OWNER; HOLDING COMPANY MUCH LIKE A PERSONAL TRUST I SOMETIME TAKE TITLE TO INVESTMENTS IN; 0 HOURS DEVOTED TO THIS BUSINESS; 08/1999** 2. CAPTAIN AGNEW LLC; OMAHA, NE; HOLDS FARM GROUND IN MY WIFE'S NAME; NO DUTIES. 0 HOURS SPENT DURING AND AFTER BUSINESS; 12/2012** 3. SHALKOTA OIL COMPANY LLC, INVESTING IN OIL AND GAS RELATED FIELD; START DATE: 04/2016; DURING BUSINESS HOURS- 0, AFTER BUSINESS HOURS- 1; INVESTMENT RELATED; OMAHA, NE *534699 - Pineway Asset Management LLC; Investment related: Yes; Omaha, Nebraska; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2023; During business hours: 0; After business hours: 1; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-06 |
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