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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-20 |
| KY | RA | APPROVED | 2009-06-01 |
Branch Locations
4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Louisville | KY | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
AUTHOR; LOUISVILLE, KY; EDUCATIONAL RESEARCH AND PUBLISHING; SOLE PROPRIETOR; 20 HOURS PER MONTH OUTSIDE NORMAL OFFICE HOURS ONLY *226900 - Trinity High School Foundation Board; Investment Related - No; Louisville, Kentucky; Education; Advisory Board, Board Member, Investment Committee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 07/2015; During Business Hours: 0; After Business Hours: 5; Investment Decisions/Advice. *595543- Phil McCauley - Lender; Investment related: No; Zionsville, Indiana; Rental Property; lender (proprietor, partner, officer, director, employee, trustee, agent); 06/2024; During business hours: 0; After business hours: 0; none other than providing loan
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1990-10-01 |
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