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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-11-12 |
| TX | RA | APPROVED | 2024-10-28 |
Branch Locations
285 Riverside Avenue Suite 335, Westport, CT 06880 • United States
Easton, CT • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Greenwich | CT | 06/2009 | 10/2024 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2024 |
| Rbc Capital Markets, Llc | Westport | CT | 10/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 10/2024 |
| City National Bank | Westport | CT | 01/2025 | 01/2025 |
1. Rental Property; Investment related Yes; Stamford, CT; sole proprietor /owner (proprietor, partner, officer, director, employee, trustee, agent); Oct 2018; Landlord 2. *490327 - self; Investment related No; Easton, Connecticut; Agriculture; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 09/2021; During business hours: 0; After business hours: 40; Labor/Service 3) NAME OF ENTITY: own a private house ADDRESS: 7 Short Trail Stamford CT 06903 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Rental Property START DATE: 11.01.18 CAPACITY: Owner DUTIES: own this house with Randy Biagi and we rent it out to tenants HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: Outreach to Pets in Need, INC ADDRESS: PO Box 488 Riverside CT 06878 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 11.05.11 CAPACITY: Other DUTIES: I help launch programs to prevent pet homelessness, such as medical care for those in need, microchips, spay and neuter programs and actively engage with proactive programs such as pet fostering, adoptions and private placement of soon to be homeless pets. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-11 |
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