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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-11-19 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
55 South Lake Avenue Pasadena Towers - Tower Ii Suite 700, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Pasadena | CA | 06/2009 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | Present |
(1) 424061 - Sean and Christine Yu Private Foundation / Not Investment Related / Pasadena, CA / Non-Profit / Education, Health, Research and Social Services / CEO / Start 01-June-2013 / During business hours: 1 / After business hours: 1 / Check Signing, Funds Disbursements. (2) 434441 - Hillcrest Investment LLC / Investment Related / Pasadena, CA / Private Investment Company / Member / Start 23-April-2021 / During business hours: 0 / After business hours: 1 / Business Development and Growth. (3) 670541 - Dreams Beyond the Net / Not Investment Related / Pasadena, CA / Non-Profit, Private Foundation, Charitable Organization / Sports, Health and Welfare / Board Member, Other / During business hours: 0 / After business hours: 1 / Treasurer, Agent for Service of Process.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-05-03 |
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