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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-02 |
| MD | RA | APPROVED | 2009-06-01 |
Branch Locations
30 West Patrick Street Suite 700, Frederick, MD 21701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Frederick | MD | 02/2006 | Present |
| Morgan Stanley Smith Barney | Frederick | MD | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*192598 - Hood College ; Investment related - No ; Frederick, Maryland ; Education ; Board Member, Finance Committee, Facilities, Investment Committee(proprietor, partner, officer, director, employee, trustee, agent) ; 10/2018 ; During business hours : 1 ; After business hours : 1; General oversight of college operations.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-27 |
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