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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-13 |
| WI | RA | APPROVED | 2009-06-01 |
Branch Locations
20975 Swenson Drive Suite 300, Waukesha, WI 53186 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Milwaukee | WI | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
| Morgan Stanley Smith Barney Llc | Waukesha | WI | 01/2015 | Present |
1.CONDO RENTAL; MILWAUKEE, WI; OWNER; 1 AFTER BUSINESS HOURS; 0 DURING BUSINESS HOURS; 03/2013 2.Condo Rental;Investment related Yes; Wauwatosa, WI; Collect rent, pay taxes, association dues; Owner (proprietor, partner, officer, director, employee, trustee, agent);Oct 2017; During business hours: 0; After business hours: 1.0; Condo will be rented to my daughter 3. Orange Hat Publishing; Investment related Yes; Fiction writing; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Aug 2018; During business hours: 0.0; After business hours: 1; Produce fiction content (non-financial) for publication.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-18 |
| S63 | Uniform Securities Agent State Law Examination | 1991-02-19 |
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