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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2020-09-11 |
| TX | RA | APPROVED | 2020-09-09 |
Branch Locations
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Scottsdale | AZ | 10/2009 | 09/2020 |
| Ameriprise Financial Services, Inc. | Sun City | AZ | 10/2009 | 09/2020 |
| Morgan Stanley Smith Barney Llc | Scottsdale | AZ | 09/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2020 | Present |
1. *412494 - Dax Ventures LLC; Investment related: Yes; Scottsdale, Arizona; Real Estate; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); 9/2020; During business hours: 0; After business hours: 2; Property Management 3. *438049 - Kelton Drive; Investment related - Yes; Scottsdale, Arizona; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 06/2021; During business hours: 0; After business hours: 4; Property Management *631521- Private Real Estate Rental Property; Investment related: Yes; Phoenix, Arizona; Rental Property; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 04/2025; During business hours: 0; After business hours: 1; Property Management
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-06-16 |
| S65 | Uniform Investment Adviser Law Examination | 2001-04-19 |
| S63 | Uniform Securities Agent State Law Examination | 2001-04-02 |
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