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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-06-02 |
| ME | RA | APPROVED | 2009-06-01 |
Branch Locations
100 Middle Street 3Rd Floor, Portland, ME 04101 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Portland | ME | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
1. Higgins Beach Saltbox LLC; Investment related; Nature of the business; Real estate (proprietor, partner, officer, director, employee, trustee, agent); Apr 2018; During business hours: 0; After business hours: 5 *571077- Cape Elizabeth Land Trust; Investment related No; cape elizabeth, Maine; Land Preservation; Board Member, Finance Committee, fundraising/development (proprietor, partner, officer, director, employee, trustee, agent); 10/2023; During business hours: 1; After business hours: 9; Fundraising, governance as member of board, on finance and development committee
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-02 |
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