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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-12 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
55 South Lake Avenue Pasadena Towers - Tower Ii Suite 700, Pasadena, CA 91101 • 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Pasadena | CA | 07/1998 | Present |
| Morgan Stanley Smith Barney | Pasadena | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-23 |
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