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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-02-28 |
| NJ | RA | APPROVED | 2016-12-08 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Saratoga Springs | NY | 06/2011 | 11/2016 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2016 |
| Charles Schwab & Co., Inc. | Saratoga Springs | NY | 11/2016 | Present |
| United States Tennis Association | Harrison | NY | 06/2014 | 02/2019 |
| Equus Consulting | Gansevoort | NY | 10/2016 | Present |
1) Saratoga Performing Arts Center|Investment Related: No|Avenue of the Pines, Saratoga Springs,, NY, 12866, USA|arts|member of the Action Council|5/1/2019|Less than 20 hour/month - 0 during trading hours|Marketing committee for fundraising events at SPAC 2) Equus Consulting LLC|Investment Related:Yes|46 Marion Ave;Saratoga Springs;NY;12866;USA|Financial Services|Owner|2016-10-28|HoursPerMonth:More than 40|HoursSpentduringSecurityTrading:8|Entity established exclusively in connection with the rep's independent broker relationship with the firm for liability, protection and tax purposes
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 1990-07-05 |
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