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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED_RES | 2020-05-14 |
Branch Locations
1200 Franklin Avenue 2Nd Floor, Garden City, NY 11530 • 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Garden City | NY | 01/1992 | Present |
| Morgan Stanley Smith Barney | Garden City | NY | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
*612560- PIMCO; Investment related: No; Newport Beach, California; Investment/Finance/Banking; Advisory Council (proprietor, partner, officer, director, employee, trustee, agent); 11/2024; During business hours: 1; After business hours: 1; Understanding more about PIMCO and how they can address the PWM market better
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-27 |
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