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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-06-28 |
| CT | RA | APPROVED | 2019-06-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legg Mason Investor Services Llc | Stamford | CT | 06/2015 | 06/2019 |
| Legg Mason & Co | Stamford | CT | 06/2015 | 06/2019 |
| Clearbridge Investments | New York | NY | 06/2015 | 06/2019 |
| Morgan Stanley | Ridgefield | CT | 06/2019 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 06/2019 | Present |
1. *376073 - Speaking; Investment related No; Faith Based Talks in Churches and religious groups; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Jul 2019; During business hours: 0; After business hours: 1 *489747 Catholic Leadership Institute; Investment related No; Malvern, Pennsylvania; Civic/Religious/Community; Contractor (proprietor, partner, officer, director, employee, trustee, agent); 03/2022; During business hours: 0; After business hours: 6; Labor/Service
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-10-28 |
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