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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2022-08-25 |
| TX | RA | APPROVED | 2022-08-25 |
Branch Locations
7515 Halcyon Summit Drive, Montgomery, AL 36117 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Montgomery | AL | 02/2009 | 08/2022 |
| Morgan Stanley Smith Barney Llc | Montgomery | AL | 08/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2022 | Present |
(2) UNITED WAY OF AUTAUGA COUNTY / DIRECTOR / FUNDRAISING ORGANIZATION / BOARD MEMBER / START 05/10/2009 / .5 HOURS PER MONTH. (3) *521215- YMCA ; Investment related-No; Prattville, Alabama; Children/Youth; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 02/1998; During business hours: 1; After business hours: 0; Administrative (4) YMCA MONTGOMERY / MONTGOMERY, AL / DIRECTOR / START 05/10/2009 / 2 HOURS PER MONTH. (5) *521213 - Crawford Properties LLC; Investment related - Yes; Montgomery, Alabama; Agriculture; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 05/2011; During business hours: 0; After Business hours - 4; Property Management. (6) *521216- Girls on the Run; Investment related-No; Montgomery , Alabama; Children/Youth; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 05/2017; During business hours: 1; After business hours: 0; Administrative (7) *521217 - First United Methodist Church ; Investment related: No; Montgomery, Alabama; Religious; Board Member, Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); 09/2010; During business hours: 0; After business hours: 1; Administrative *653728- Auburn University Montgomery College of Business Advisory Board; Investment related-No; Montgomery, Alabama; Public Schools; Advisory Board(proprietor, partner, officer, director, employee, trustee, agent); 10/2025; During business hours: 0.25; After business hours: 0; 2 meetings per year to hear about their strategic objectives and provide feedback
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-06 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-03 |
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