Best Investors Account Sign in
Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-01-26
FL RA APPROVED 2021-11-24
  • TX RA
    APPROVED_RES
    Since 2022-01-26
  • FL RA
    APPROVED
    Since 2021-11-24

Branch Locations

350 East Las Olas Boulevard Suite 1500, Fort Lauderdale, FL 33301 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fmsbonds Inc Boca Raton FL 11/2006 01/2019
Ubs Financial Services Inc. Miami FL 02/2019 10/2021
Morgan Stanley Smith Barney Llc Fort Lauderdale FL 11/2021 Present
  • 11/2006 → 01/2019
    Fmsbonds Inc
    Boca Raton, FL
  • 02/2019 → 10/2021
    Miami, FL
  • 11/2021 → Present
    Morgan Stanley Smith Barney Llc
    Fort Lauderdale, FL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-21
S63 Uniform Securities Agent State Law Examination 2014-07-21
  • S65 Uniform Investment Adviser Law Examination
    2020-12-21
  • S63 Uniform Securities Agent State Law Examination
    2014-07-21

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Fort Lauderdale, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor