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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-10-13 |
| NJ | RA | APPROVED | 2022-02-17 |
| NY | RA | APPROVED | 2021-04-27 |
Branch Locations
55 East 52Nd Street 28Th Floor, New York, NY 10055 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 12/2006 | 06/2020 |
| Morgan Stanley Smith Barney Llc | New York | NY | 06/2020 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 09/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-04-02 |
| S65 | Uniform Investment Adviser Law Examination | 2000-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-13 |
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