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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-12-08 |
| NY | RA | APPROVED | 2021-08-19 |
Branch Locations
1200 Franklin Avenue 2Nd Floor, Garden City, NY 11530 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 02/2012 | 08/2021 |
| Bank Of America, N.A. | New York | NY | 05/2012 | 08/2021 |
| Morgan Stanley Smith Barney Llc | New York | NY | 08/2021 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 09/2021 | Present |
* 454192 - Guardian Life Insurance Company; Investment related -No; New York, New York; Insurance; (proprietor, partner, officer, director, employee, trustee, agent); 02/2011; During business hours: 0; After business hours: 0;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-07-18 |
| S63 | Uniform Securities Agent State Law Examination | 2008-01-26 |
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