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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-08-11 |
| IN | RA | APPROVED | 2026-08-03 |
Branch Locations
800 East 96Th Street Suite 400, Indianapolis, IN 46240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Finanical Services Inc. | Indianapolis | IN | 12/2013 | 08/2026 |
| Morgan Stanley Smith Barney Llc | Indianapolis | IN | 08/2026 | Present |
(1) Rodan and Fields / Non Investment-Related / Indianapolis, IN / Direct sales skin care company / Direct Sales Consultant / Start 01-October-2015 / 30 hours devoted per month / 0 during trading. *710438 - Nicole Wesley Photography LLC; Investment related - No; Indianapolis, Indiana; Photography; Managing Member (proprietor, partner, officer, director, employee, trustee, agent); 01/2021; During business hours: 0; After business hours: 10; Administrative:Business Development/Growth:Labor/Service:Sales/Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 2006-01-13 |
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