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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-04-28 |
| TX | RA | APPROVED_RES | 2020-04-08 |
| CT | RA | APPROVED | 2009-06-01 |
Branch Locations
225 Asylum Street 14Th Floor, Hartford, CT 06103 • United States
N. Massapequa, NY • United States
545 Long Wharf Drive 7Th Floor, New Haven, CT 06511 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | New Haven | CT | 06/2009 | Present |
1. WHITECAP Technologies, Inc; Investment related No; Southington, CT; Telephone network sales; Secretary and Treasurer. (proprietor, partner, officer, director, employee, trustee, agent); 10/2006; During business hours: 0; After business hours: 1; 2. *489638 - 2470 CTC, LLC; Investment related Yes; Prospect, Connecticut; Real Estate; Officer (proprietor, partner, officer, director, employee, trustee, agent); 11/2021; During business hours: 0; After business hours: 1; Property Management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-11 |
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