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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-08 |
| IL | RA | APPROVED | 2021-03-05 |
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 |
|---|---|---|---|---|
| Fifth Third Securities | Chicago | IL | 07/2012 | 03/2021 |
| Fifth Third Bank | Chicago | IL | 09/2015 | 03/2021 |
| Morgan Stanley Smith Barney Llc | Oak Brook | IL | 03/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 04/2021 | Present |
*586538 - Guardrail , LLC; Investment related Yes; Cincinnati, Ohio; Technology; Partner (proprietor, partner, officer, director, employee, trustee, agent); 04/2024; During business hours: 0; After business hours: 5; Business Development/Growth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 2012-12-04 |
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