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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-11-17 |
| TX | RA | APPROVED | 2022-11-14 |
Branch Locations
2211 York Road Suite 100, Oak Brook, IL 60523 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Oak Brook | IL | 06/2009 | Present |
*390185 - Etsy Shop; Investment related - Yes; DeKalb, Illinois; Retail/Online Stores; Owner (proprietor, partner, officer, director, employee, trustee, agent); Jan 2020; During business hours: 0; After business hours: 20; Sales/Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-11-14 |
| S63 | Uniform Securities Agent State Law Examination | 2004-09-02 |
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