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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-03-15 |
| CA | RA | APPROVED | 2017-03-10 |
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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Carlsbad | CA | 05/2010 | 03/2017 |
| Morgan Stanley Smith Barney Llc | La Jolla | CA | 03/2017 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 04/2017 | Present |
*485298- Trust ; Investment related Yes; Mill Valley, California; Trust ; Trustee/C0-Trustee; 03/2007; During business hours: 0; After business hours: 0;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-21 |
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