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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-06-19 |
| WI | RA | APPROVED | 2020-06-19 |
Branch Locations
411 East Wisconsin Avenue Suite 2200, Milwaukee, WI 53202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Brookfield | WI | 02/2010 | 06/2020 |
| Morgan Stanley Smith Barney Llc | Milwaukee | WI | 06/2020 | Present |
*403877 - Johnson Creek Education Foundation; Investment related: No; Johnson Creek, Wisconsin; Education; Board Member:Officer (non-board member):Other - was a board member and vice president, president resigned, now I'm still a board member and nominated as president (proprietor, partner, officer, director, employee, trustee, agent); 08/2011; During business hours: 0; After business hours: 1; Labor/Service *496908- Trust; Investment related Yes;Lake Mills, Wisconsin; Trust; Trustee/Co-Trustee; Activity start 10/2011; During business hours: 0; After business hours: 1;Estate Administration
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-27 |
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