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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-05-21 |
| ME | RA | APPROVED | 2018-08-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Orono | ME | 09/2015 | 07/2018 |
| Tiaa-Cref Individual & Institutional Services, Llc | Orono | ME | 09/2015 | 07/2018 |
| Morgan Stanley | Bangor | ME | 08/2018 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 08/2018 | Present |
2. *379459 - Penobscot Theatre Company; Investment related No; Bangor, ME; Produces live theatre; Board of Directors, Finance Committee, Development committee (proprietor, partner, officer, director, employee, trustee, agent); Sep 2019; During business hours: 2; After business hours: 3 *596476 - City of Bangor: Arts & Commission for Cultural Development; Investment related: No; Bangor, Maine; Government; Other Committee(proprietor, partner, officer, director, employee, trustee, agent); 1/2025; During business hours: 0; After business hours: 1; Help promote the Arts in the City of Bangor *695152 - Private rental property ownership; Investment Related - Yes; Winterport, Maine; Rental Property; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 05/2026; During Business Hours: 0; After Business Hours: 1; Property Management
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-11-03 |
| S65 | Uniform Investment Adviser Law Examination | 2006-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-31 |
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