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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-09-15 |
| CT | RA | APPROVED | 2020-06-11 |
Branch Locations
555 Long Wharf Dr 9Th Fl, New Haven, CT 06511 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | New Haven | CT | 03/2012 | 06/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 06/2020 |
| Wells Fargo Clearing Services, Llc | New Haven | CT | 06/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
THE MALERI GROUP LLC; INV. RELATED; SHELTON, CT; HEALTH INSURANCE; TRAIL COMMISSIONS; START 7/2020; 0 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: NONE. CAC LLC, INV RELATED, HAMDEN, CT, 100% OWNERSHIP, START 4/19/2022, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, ESTATE PLANNING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 2005-03-18 |
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