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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-03-22 |
| TX | RA | APPROVED | 2021-03-19 |
Branch Locations
555 California Street 35Th Floor, San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co., Inc. | San Francisco | CA | 11/2011 | 03/2021 |
| Morgan Stanley Smith Barney Llc | San Francisco | CA | 03/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-16 |
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