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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-08-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Houston | TX | 08/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 09/2020 | Present |
| Ubs Financial Services Inc. | Houston | TX | 05/1996 | 08/2020 |
* 409942 - Four Horsemen Ranch LLC; Investment related Yes; San Antonio, TX; Agriculture; Co-Owner (proprietor, partner, officer, director, employee, trustee, agent); March 2013; During business hours: 0; After business hours: 8.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-08-16 |
| S65 | Uniform Investment Adviser Law Examination | 1996-08-16 |
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