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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-01-15 |
| CA | RA | APPROVED | 2024-05-31 |
| TX | RA | APPROVED | 2024-05-31 |
Branch Locations
450 Royal Palm Way 5Th Floor, Palm Beach, FL 33480 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Los Angeles | CA | 10/2015 | 05/2024 |
| Morgan Stanley Smith Barney Llc | Palm Beach | FL | 05/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2024 | Present |
*624076 - RD & AF LLC; Investment Related - Yes; Palm Beach, Florida; Investment/Finance/Banking; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 01/2025; During Business Hours: 0; After Business Hours: 0; Entity created to hold private direct investment which has been disclosed to the firm..
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-05-18 |
| S63 | Uniform Securities Agent State Law Examination | 2000-08-15 |
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