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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-11 |
| FL | RA | APPROVED | 2009-06-01 |
Branch Locations
1801 North Military Trail Suite 300, Boca Raton, FL 33431 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc | Boca Raton | FL | 11/2008 | Present |
| Morgan Stanley Smith Barney | Boca Raton | FL | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
NAME: REGENCY PERSONNEL, INC.; INVESTMENT: NO; BOCA RATON,FL; NATURE: PERSONNEL SERVICES/PLACEMENT; TITLE: VICE PRESIDENT; HRS PER MTH: 0; HRS DURING SEC. TRADING HRS: 0; BUSINESS OWNED BY SPOUSE *393497 - Trust; Investment related - Yes; Trustee/Co-Trustee(proprietor, partner, officer, director, employee, trustee, agent); Feb 2020; During business hours: 1; After business hours: 0; *506450 - Jewish Federation of South Palm Beach County; Investment related: No; Boca Raton, Florida; Charitable, Non-Profit; Other (proprietor, partner, officer, director, employee, trustee, agent); 09/2018; During business hours: 0; After business hours: 1; Other *517812 - POA; Investment related: Yes; Delray Beach, Florida; POA; 09/2022; During business hours: 0; After business hours: 1; *521853 - POA; Investment related: Yes; Delray Beach, Florida; POA; 08/2022; During business hours: 0; After business hours: 1;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-16 |
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