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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-02-06 |
| NC | RA | APPROVED | 2021-02-01 |
| TX | RA | APPROVED | 2021-01-13 |
Branch Locations
17505 West Catawba Avenue Suite 300, Cornelius, NC 28031 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Huntersville | NC | 06/2011 | 01/2021 |
| Morgan Stanley Smith Barney Llc | Cornelius | NC | 01/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 02/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-16 |
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