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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-06-01 |
| WI | RA | APPROVED | 2009-06-01 |
Branch Locations
2 disclosure categories 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 | Minocqua | WI | 06/2009 | Present |
*615317 - Gaslight Tavern Asian Bistro; Investment related: No; Lake Tomahawk, Wisconsin; Restaurant/Bar/Nightclub; food server/waitress(proprietor, partner, officer, director, employee, trustee, agent); 10/2024; During business hours: 0; After business hours: 80; Customer Service
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-04-27 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-18 |
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