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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-06-21 |
| TX | RA | APPROVED | 2024-06-21 |
Branch Locations
4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Louisville | KY | 02/2014 | 06/2024 |
| Morgan Stanley Smith Barney Llc | Louisville | KY | 06/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 06/2024 | Present |
*599765 - Russian School of Math Louisville; Investment Related - No; Prospect, Kentucky; Education; Employee, Contractor(Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 08/2024; During Business Hours: 0; After Business Hours: 20; Administrative, Teaching math curriculum and RSM learning methodology to K-8 students
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 2010-12-06 |
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