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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-10-03 |
| CT | RA | APPROVED | 2014-09-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Wellesley | MA | 09/2014 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
(1) 263202 - K3 Capital, LLC / Not Investment Related / Sudbury, MA / Investment, Finance, Banking / Partner / Start 01-May-2016 / During business hours: 0 / After business hours: 0.50 / Administrative, Accounting, Bookkeeping, Check Signing, Funds Disbursements, Investment Decisions/Advice. (2) 536370 - Trust / Investment Related / Sudbury, MA / Start December 2022 / During business hours: 0.01 / After business hours: 0.01 (3) 536374 - Trust / Investment Related / Sudbury, MA / Start December 2022 / During business hours: 0.01 / After business hours: 0.01
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-12 |
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