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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-02 |
| RI | RA | APPROVED | 2009-06-01 |
Branch Locations
One Financial Plaza 19Th Floor, Providence, RI 02903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Providence | RI | 09/1996 | Present |
| Morgan Stanley Smith Barney | Providence | RI | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*382572 - Special Olympics of Rhode Island; Investment related - No; Smithfield, RI; Providing sporting activities statewide for those with special needs; Finance Committee Member (proprietor, partner, officer, director, employee, trustee, agent); Oct 2019; During business hours: 1; After business hours: 1; Part of a team of committee members who review the organizations investments to be sure they are in line with the organization's Investment Policy and will also be involved in the selection of an investment advisor for these investments.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-06 |
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