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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-08 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
2829 Townsgate Road Suite 200, Westlake Village, CA 91361 • 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. | Glendale | CA | 04/2004 | Present |
| Morgan Stanley Smith Barney | Westlake Village | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
1. Pepperdine University; Investment related No; Oversight of school policy; Role/position/job title (proprietor, partner, officer, director, employee, trustee, agent); Sep/2018; During business hours: 2; After business hours: 2; 2. *335335- Haye Properties, LLC; Investment related: Yes; Westlake Village, California; Real Estate; Jolyn Haye, President and Seth Haye, Managing Partner (proprietor, partner, officer, director, employee, trustee, agent); 03/2022; During business hours: 0; After business hours: 2; Jolyn manages day to day duties with the rental properties. She is the property manager. Most of my involvement is tied to the selection of properties to purchase.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-07-15 |
| S63 | Uniform Securities Agent State Law Examination | 2004-06-28 |
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