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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-09-27 |
| NY | RA | APPROVED | 2021-04-27 |
| CT | RA | APPROVED | 2021-02-08 |
Branch Locations
1200 Franklin Avenue 2Nd Floor, Garden City, NY 11530 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Mitchel Field | NY | 10/2006 | 02/2020 |
| Morgan Stanley Smith Barney Llc | Garden City | NY | 02/2020 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 04/2020 | Present |
*395348 - KKMA LLC; Investment related Yes; Garden City, New York; Consulting; Manager (proprietor, partner, officer, director, employee, trustee, agent); Aug 2019; During business hours: 0; After business hours: 2; Administrative
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-07 |
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