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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-12-09 |
| TX | RA | APPROVED | 2016-12-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Brea | CA | 11/2004 | 12/2016 |
| Morgan Stanley | Brea | CA | 12/2016 | Present |
*591776 - A & P Ranch, A California Limited Partnership; Investment Related - Yes; Tucson, Arizona; Agriculture; Limited Partner(Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 12/2022; During Business Hours: 0; After Business Hours: 0; No management say or involvement - merely a limited partner (inherited from deceased parent)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-26 |
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