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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-20 |
| AZ | RA | APPROVED | 2009-06-01 |
Branch Locations
2398 E Camelback Rd, Phoenix, AZ 85016 • United States
Flagstaff, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Scottsdale | AZ | 08/1998 | Present |
| Morgan Stanley Smith Barney | Scottsdale | AZ | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*599439 - Forest Highlands Oversight Committee; Investment Related - No; Flagstaff, Arizona; Civic/Community; Investment Committee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 06/2024; During Business Hours: 0; After Business Hours: 1; Administrative.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-19 |
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