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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED_RES | 2009-11-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Riverhead | NY | 06/2009 | Present |
* 539592 - Trust; Investment related: Yes; Saint James, New York; Trust; Trustee/Co-Trustee; 01/2023; During business hours: 0; After business hours: 0;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2009-06-17 |
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