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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2022-01-03 |
| TX | RA | APPROVED_RES | 2018-05-23 |
| AZ | RA | APPROVED | 2015-12-08 |
Branch Locations
4801 N. Butler Suite 14101, Farmington, NM 87401 • United States
6565 Americas Parkway Suite 400, Albuquerque, NM 87110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Albuquerque | NM | 05/2013 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-04 |
| S65 | Uniform Investment Adviser Law Examination | 1997-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-05 |
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