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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-11-23 |
| TX | RA | APPROVED_RES | 2021-11-23 |
Branch Locations
399 Park Avenue 12Th Floor, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | New York | NY | 09/2004 | 11/2021 |
| Jpmorgan Securities Llc | New York | NY | 04/2011 | 11/2021 |
| Morgan Stanley Smith Barney Llc | New York | NY | 11/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2021 | Present |
*465639 - Wildlife Conservation Society; Investment related - No; New York, New York; Non-Profit; Advisory Member (proprietor, partner, officer, director, employee, trustee, agent); 01/2020; During business hours: 0; After business hours:1 ; *569562 - Berthieu Artisanal Cutlery; Investment related-Yes; Rye, New York; Sales of hand made artisanal knives; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 11/2023; During business hours: 0; After business hours: 1; Owner and director in the entity set up to sell the knives.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 2011-05-31 |
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