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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2023-01-18 |
| IL | RA | APPROVED | 2021-04-14 |
| TX | RA | APPROVED_RES | 2021-04-01 |
Branch Locations
233 South Wacker Drive Suite 9200 Pwm, Chicago, IL 60606 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Chicago | IL | 05/2008 | 04/2021 |
| Morgan Stanley Smith Barney Llc | Chicago | IL | 04/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 04/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 2000-04-14 |
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