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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-02-22 |
| TX | RA | APPROVED_RES | 2023-02-22 |
Branch Locations
2 North Tamiami Trail Suite 1100, Sarasota, FL 34236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Jericho | NY | 04/2011 | 11/2016 |
| Unemployed | Lindenhurst | NY | 11/2016 | 02/2017 |
| Unemployed | Venice | FL | 02/2017 | 04/2017 |
| Ubs Financial Services | Sarasota | FL | 04/2017 | Present |
| Morgan Stanley | Sarasota | FL | 02/2023 | Present |
*542405 - First Responders Pool Service LLC; Investment related Yes; Venice, Florida; residential monthly pool cleaning service; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 03/2021 ; During business hours: 0; After business hours: 2; Administrative, Accounting/Bookkeeping.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 2008-06-10 |
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