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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-10-05 |
| AL | RA | APPROVED | 2022-09-12 |
Branch Locations
7515 Halcyon Summit Drive, Montgomery, AL 36117 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Montgomery | AL | 02/2009 | 08/2022 |
| Morgan Stanley Smith Barney Llc | Montgomery | AL | 08/2022 | Present |
*617372- Hoops League; Investment related: No; Montgomery, Alabama; Recreation; Registration of players for a basketball leagues. No other role. (proprietor, partner, officer, director, employee, trustee, agent); 11/2015; During business hours: 1; After business hours: 4; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-30 |
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