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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-24 |
| AL | RA | APPROVED | 2009-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Huntsville | AL | 02/2002 | Present |
| Morgan Stanley Smith Barney | Huntsville | AL | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. Huntsville Downtown Redevelopment; Not Investment related; Huntsville, AL; Government / Municipality / Political; Board member (proprietor, partner, officer, director, employee, trustee, agent); Aug, 2017; During business hours: 1; After business hours: 1; Redevelop the downtown center of Huntsville, AL. 2.ecommercesales.com; Not Investment related; Sell on-line merchandise; Independent Contractor (proprietor, partner, officer, director, employee, trustee, agent); Sep 2017; During business hours: 0; After business hours: 1; Building ecommerce sites, selling Fan Gear and clothing for college and pro team sports teams. 4. Huntsville and Madison County Railroad Authority Board; Investment related No;Government / Municipality / Political; Board Member (proprietor, partner, officer, director, employee, trustee, agent); Jun 2018; During business hours: 0; After business hours: 1; Manage Board for a small stretch of railroad. 5.Rocket City Bowl LLC; Investment related: Yes; CFB Bowl Game; Executive Director(proprietor, partner, officer, director, employee, trustee, agent); Aug 2018; During business hours: 0; After business hours: 1; 6.*459737 - Block Sales and Distributing, Inc ; Investment related - No ; Palm Coast, Florida ; Holding company, Family business ; Officer(proprietor, partner, officer, director, employee, trustee, agent) ; 5/2023 ; During business hours : 0 ; After business hours : 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-26 |
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