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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-12-03 |
| TX | RA | APPROVED_RES | 2021-12-03 |
Branch Locations
20400 Stevens Creek Boulevard Suite 350, Cupertino, CA 95014 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Milpitas | CA | 05/2007 | 12/2021 |
| Morgan Stanley Smith Barney Llc | Cupertino | CA | 12/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2021 | Present |
*610343 - SOUTH LAKE FOUNDATION; Investment Related - Yes; Mountain View, California; Non operating private foundation for donation purpose; Officer (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 12/2023; During Business Hours: 0; After Business Hours: 1; Investment Decisions/Advice.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 2003-03-21 |
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