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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2009-06-01 |
| TX | RA | APPROVED | 2009-06-01 |
Branch Locations
1333 North California Boulevard Suite 133, Walnut Creek, CA 94596 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Walnut Creek | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
*527127 - JV Bubby Baldwin Service and Conservation Foundation; Investment related: No; Lafayette, California; Veteran Organizations; Board Member, Officer (non-board member) (proprietor, partner, officer, director, employee, trustee, agent); 10/2022; During business hours: 0; After business hours: 5; Accounting/Bookkeeping, Check Signing/Funds Disbursements, Business Development/Growth, Investment Decisions/Advice
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-18 |
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