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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-12-20 |
| FL | RA | APPROVED | 2020-12-18 |
| TX | RA | APPROVED | 2020-12-04 |
Branch Locations
8889 Pelican Bay Boulevard Suite 300, Naples, FL 34108 • United States
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Morristown | NJ | 09/1990 | 12/2020 |
| Bank Of America, N.A. | Florham Park | NJ | 12/2009 | 12/2020 |
| Morgan Stanley Smith Barney Llc | Naples | FL | 12/2020 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 03/2021 | Present |
*421326 - Catena holdings LLC; Investment related - Yes; Marco Island, Florida; Restaurant/Bar/Nightclub; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2021; During business hours: 0; After business hours: 0; Administrative *440054 - Lardebc enterprises LLC; Investment related - Yes; Marco Island, Florida; Recreation; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 05/2021; During business hours: 0; After business hours: 2; Administrative *420587 - Catena Family Foundation Inc.; Investment related: No; Marco Island, Florida; Civic/Community; Founder (proprietor, partner, officer, director, employee, trustee, agent); 12/2020; During business hours: 0; After business hours: 2; Check Signing/Funds Disbursements
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-06 |
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