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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2022-01-31 |
| TX | RA | APPROVED_RES | 2020-02-20 |
| KY | RA | APPROVED | 2009-06-01 |
Branch Locations
4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Louisville | KY | 02/2000 | Present |
| Morgan Stanley Smith Barney | Louisville | KY | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*392924 -Lending; Investment related -No; Chicago, Illinois; Loan; Lender (proprietor, partner, officer, director, employee, trustee, agent); Feb 2020; During business hours: 0; After business hours: 0. * 390012 - Saint Mary's of the Annunciation Catholic Parish; Investment related No; New Albany, Indiana; Charitable, Non-Profit; Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); 02/2020; During business hours: 1; After business hours: 3; Administrative. *636884 - Kraft Capital Holdings LLC; Investment related: Yes; Floyd's Knob, Indiana; Real Estate; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); 4/2025; During business hours: 0; After business hours: 0.5; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-09 |
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