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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-04-14
NY RA APPROVED 2021-06-16
  • FL RA
    APPROVED
    Since 2025-04-14
  • NY RA
    APPROVED
    Since 2021-06-16

Branch Locations

Sarasota, FL • United States

50 Front Street, Binghamton, NY 13905 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Binghamton NY 03/2005 Present
Morgan Stanley Smith Barney Ithaca NY 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 03/2005 → Present
    Citigroup Global Markets Inc.
    Binghamton, NY
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Ithaca, NY
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Other Businesses

2.The Estate of James Bartley; Investment related: Yes; Private Company; Executor or Administrator(proprietor, partner, officer, director, employee, trustee, agent); May 2018; During business hours: 4; After business hours: 4;The settling of the Estate of James Bartley. I will be paying off debts and distributing his assets to his heirs. 3. Real Estate; Investment related No; Rental; Role/position/job title (proprietor, partner, officer, director, employee, trustee, agent); Oct/2017; During business hours: 4; After business hours: 4;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-03
  • S66 Uniform Combined State Law Examination
    2025-03-03

View on SEC IAPD

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