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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-06-24 |
| RI | RA | APPROVED | 2009-06-01 |
Branch Locations
One Financial Plaza 19Th Floor, Providence, RI 02903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Providence | RI | 06/1998 | Present |
| Morgan Stanley Smith Barney | Providence | RI | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. BOARD OF GOVERNORS--COUNTRY CLUB OF NEW BEDFORD *75079 - YMCA South Coast; Investment related: No; New Bedford, Massachusetts; Civic/Community; Board Member:Finance Committee:Other Committee:Other(proprietor, partner, officer, director, employee, trustee, agent); 6/2017; During business hours: 2; After business hours: 2; Other 4. *380362 - Beach House Rental Property; Investment related Yes ; Mattapoisett, MA; Rental; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Jul 2006; During business hours: 0; After business hours: 1.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-31 |
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