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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-03 |
| WA | RA | APPROVED | 2024-09-03 |
Branch Locations
4000 Carillon Point Suite 600, Kirkland, WA 98033 • United States
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. | Bellevue | WA | 01/2012 | 08/2024 |
| Morgan Stanley Smith Barney Llc | Kirkland | WA | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-18 |
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