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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-06-07 |
| TX | RA | APPROVED | 2024-06-07 |
Branch Locations
35 Village Road Suite 601, Middleton, MA 01949 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 05/2007 | 06/2024 |
| Morgan Stanley Smith Barney Llc | Middleton | MA | 06/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 07/2024 | Present |
(1) Freelance Musician Performer Freelance Guitarist / Start 12-December-2008 / Occasional 8 Hours per month. (2) 64 Sagamore Road Condominium / Bronxville, NY / Non-Investment Related / Real Estate / Condominium Apartment Complex / I have elected to the Condominium Board of Directors / Member of Board of Directors / Review the budget, help make decisions for building improvements, review potential apartment buyers, review the building staff / Start 10-July-2019 / 0 hours devoted per month / 0 during trading hours. (3) *600770 - 64 Sagamore Road E1, LLC; Investment related: Yes; Bronxville, New York; Rental Property; Member (proprietor, partner, officer, director, employee, trustee, agent); 03/2020; During business hours: 0; After business hours: 2; Administrative, Accounting/Bookkeeping, Sales/Marketing (4) *600772 - 64 Sagamore Road C3, LLC; Investment related: Yes; Bronxville, New York; Rental Property; Member (proprietor, partner, officer, director, employee, trustee, agent); 03/2020; During business hours: 0; After business hours: 0; Administrative, Accounting/Bookkeeping, Sales/Marketing (5) *601068 - 250 Commonwealth Avenue Unit 3, LLC; Investment related: Yes; Boston, Massachusetts; Rental Property; Member (proprietor, partner, officer, director, employee, trustee, agent); 05/2023; During business hours: 0; After business hours: 1; Administrative, Accounting/Bookkeeping, Sales/Marketing (6) *601065 - 64 Sagamore Road H3, LLC; Investment related: Yes; Bronxville, New York; Rental Property; Member (proprietor, partner, officer, director, employee, trustee, agent); 09/2018; During business hours: 0; After business hours: 2; Administrative, Accounting/Bookkeeping, Sales/Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 1991-05-07 |
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