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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2023-02-16 |
| TX | RA | APPROVED | 2023-02-16 |
Branch Locations
2200 North Rodney Parham Road Suite 100, Little Rock, AR 72212 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Little Rock | AR | 11/1997 | 02/2023 |
| Morgan Stanley Smith Barney Llc | Little Rock | AR | 02/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 05/2023 | Present |
*545328- Bauxite School District; Investment related -No; Bauxite, Arkansas; Public Schools; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 09/2011; During business hours: 0; After business hours: 4; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-27 |
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