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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2013-11-14 |
| TX | RA | APPROVED_RES | 2012-03-14 |
Branch Locations
11 East Superior Street Suite 580, Duluth, MN 55802 • 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Duluth | MN | 10/2003 | Present |
| Morgan Stanley Smith Barney | Duluth | MN | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*531732 - toastmasters Int"l Greysolol Club 217; Investment related: No; Duluth, Minnesota; Public Speaking Development Club; Officer (non-board member)(proprietor, partner, officer, director, employee, trustee, agent); 11/2022; During business hours: 1; After business hours: 0; Check Signing/Funds Disbursements
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 2004-01-10 |
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