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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-10-02 |
Branch Locations
2800 Post Oak Boulevard Suite 3200, Houston, TX 77056 • 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 |
|---|---|---|---|---|
| Orion Advisor Services, Llc | Omaha | NE | 02/2013 | 08/2017 |
| Northern Lights Distributors, Llc | Omaha | NE | 02/2013 | 08/2017 |
| Morgan Stanley Smith Barney Llc | Houston | TX | 08/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-09-29 |
| S66 | Uniform Combined State Law Examination | 2009-02-17 |
| S63 | Uniform Securities Agent State Law Examination | 2008-04-09 |
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